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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-11-05 |
| TX | RA | APPROVED | 2025-11-05 |
Branch Locations
1838 Sir Tyler Drive Suite 102, Wilmington, NC 28405 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-09-29 |
| TX | RA | APPROVED_RES | 2023-09-15 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
1838 Sir Tyler Drive, Suite 102, Wilmington, NC 28405 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rockefeller Financial Llc | Wilmington | NC | 09/2023 | Present |
| Rockefeller Capital Managment | Wilmington | NC | 11/2025 | Present |
| Ubs Financial Services Inc | Wilmington | NC | 01/2009 | 09/2023 |
1) Real Estate/ Greensboro, NC 27410/investment related?: yes/ Condominium rental/ 33% owner with my wife and daughter/ I own the condo/ no time reqd during working hours/ date role began: 8/1/2022. 2) NAME OF OTHER BUSINESS: Avenel Boat Slip / INVESTMENT RELATED?: yes / ADDRESS: 1431 Avenel Drive, Avenel, NC / NATURE OF THE BUSINESS: Boat Slip / POSITION: Owner / DUTIES: Boat Slip deeded to my primary residence that I can rent out to a neighbor/ START DATE: 8-1-2022 / HOURS DEVOTED TO BUSINESS: NA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-09-03 |
| S66 | Uniform Combined State Law Examination | 1999-10-14 |
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