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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2025-08-20 |
| TX | RA | APPROVED | 2025-08-20 |
Branch Locations
Westfield, IN • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2021-03-01 |
| IN | RA | APPROVED | 2021-03-01 |
| TX | RA | APPROVED | 2021-03-01 |
Branch Locations
222 West Adams Suite 2450, Chicago, IL 60606 • United States
701 Harger Road, Suite 210, Oak Brook, IL 60523 • United States
Westfield, IN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rockefeller & Co | Oak Brook | IL | 03/2021 | 12/2022 |
| Rockefeller Financial Llc | Marion | IN | 01/2023 | 07/2023 |
| Rockefeller Financial Llc | Westfield | IN | 07/2023 | Present |
| Rockefeller Capital Management | Westfield | IN | 08/2025 | Present |
| Whitnell $ Co. | Oak Brook | IL | 09/2007 | 03/2021 |
Two rental properties in Florida; 3176 Windrush Bourne, #26, Sarasota, FL; 1564 Napoli Dr. West, Sarasota, FL; Owner/Landlord; start date 12/5/2017; is investment-related; 1 hour per month, none during trading hours; rental income. One rental property in Florida; 6950 W. Country Club Dr., North, Sarasota, FL 34243; started 3/20/18; is investment-related; 2 hours per month, none during trading hours; rental income.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-10-21 |
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