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Account
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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-08-15 |
| TX | RA | APPROVED | 2025-08-15 |
Branch Locations
800 Newport Center Drive Suite 650, Newport Beach, CA 92660 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-05-02 |
| TX | RA | APPROVED_RES | 2023-05-02 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
800 Newport Center Drive Suite 650, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 08/2014 | 03/2023 |
| Bank Of America, N.A. | Newport Beach | CA | 08/2014 | 05/2023 |
| Rockefeller Financial Llc | Newport Beach | CA | 05/2023 | Present |
| Rockefeller Capital Management | Newport Beach | CA | 08/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-01-03 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-22 |
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