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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-02-03 |
| TX | RA | APPROVED | 2026-02-03 |
Branch Locations
Two Embarcadero Center Suite 2320, San Francisco, CA 94111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 08/2014 | 02/2026 |
| Bank Of America, N.A. | San Francisco | CA | 02/2015 | 02/2026 |
| Rockefeller Financial Llc | San Francisco | CA | 02/2026 | Present |
I*,1709299 Entity Type, N/A Name of OBA: 1979 & 1981 BROADWAY HOMEOWNER'S ASSOCIATION Address:San Francisco,CA,94109 Investment Related: NO Position, Title, Association:Other Employee Start Date:12/07/2020 No Hours: MONTHLY No Hours during trading:0 Duties:This is the HoA for a two-unit condo building We own and live in 1979, and another owner owns 1981. Originally, my wife and one of the other owners served on the HoA. When those owners sold, a new owner bought 1981 and rented it out. The new owners have yet to take on their spot, and are often traveling. My role is to fulfil the requirement that we have two members on the HoA. My wife pretty much runs the HoA and her role is mostly ad hoc maintenance on an as-needed basis e.g. finding someone to fix the garage door, finding someone to tend to the gutters, organizing pest control, etc.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-11-14 |
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