David Michael Sotsky

Rockefeller Financial LLC

Florham Park, NJ

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Current Employers

Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2022-04-29
TX	RA	APPROVED	2022-04-29

MD RA
APPROVED

Since 2022-04-29
TX RA
APPROVED

Since 2022-04-29

Branch Locations

180 Park Ave Suite 203, Florham Park, NJ 07932 • United States

2 Bethesda Metro Center, Suite 800, Bethesda, MD 20814 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner And Smith Incorporated	Bethesda	MD	09/2011	04/2022
Bank Of America, N.A.	Bethesda	MD	12/2011	04/2022
Rockefeller Financial Llc	Bethesda	MD	04/2022	Present

09/2011 → 04/2022

Merrill Lynch, Pierce, Fenner And Smith Incorporated

Bethesda, MD
12/2011 → 04/2022

Bank Of America, N.A.

Bethesda, MD
04/2022 → Present

Rockefeller Financial Llc

Bethesda, MD

Previous Registrations

2011-09-30 → 2022-05-03

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bethesda, MD

North Bethesda, MD

North Bethesda, MD

Bethesda, MD
2009-07-02 → 2011-09-29

Convergent Wealth Advisors, Llc

Potomac, MD
2007-09-07 → 2009-05-19

Ubs Financial Services Inc.

Washington, DC
2005-04-25 → 2007-09-06

Citigroup Global Markets Inc.

Washington, DC

Washington, DC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-04-15
S63	Uniform Securities Agent State Law Examination	1997-09-15

S65 Uniform Investment Adviser Law Examination

2005-04-15
S63 Uniform Securities Agent State Law Examination

1997-09-15

View on SEC IAPD

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