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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-03-07 |
| TX | RA | APPROVED | 2024-03-07 |
Branch Locations
300 First Stamford Place Suite 230, Stamford, CT 06902 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2022-04-01 |
| TX | RA | APPROVED | 2022-04-01 |
Branch Locations
300 First Stamford Place Suite 230, Stamford, CT 06902 • United States
45 Rockefeller Plaza, New York, NY 10111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P Morgan Securities Inc. | White Plains | NY | 08/2010 | 12/2017 |
| Jpmorgan Chase Bank, N.A. | White Plains | NY | 10/2010 | 12/2017 |
| Rockefeller Financial Llc | Stamford | CT | 04/2022 | Present |
| Fieldpoint Private | Greenwich | CT | 12/2017 | 04/2022 |
| Rockefeller Capital Management | Stamford | CT | 02/2024 | Present |
Fieldpoint Private Bank, Commercial Loan Trails, One Greenwich Plaza Suite A, Second Floor, Greenwich, CT 06830; Receive loan trails from commercial loans; Advisor; December 2017; 2 hours per month and 10 minutes per trading hours.; Set up to receive trails on loans executed for my clients.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-04-14 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-18 |
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