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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2021-03-19 |
| TX | RA | APPROVED | 2021-03-19 |
Branch Locations
3825 Edwards Road - Suite 630, Cincinnati, OH 45209 • United States
222 West Adams Suite 2450, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 | Cincinatti | OH | 02/2006 | 03/2021 |
| Bank Of America,Na | Cincinnati | OH | 12/2009 | 03/2021 |
| Rockefeller Financial Llc | Cincinnati | OH | 03/2021 | Present |
Bottle Rocket Stables LLC - 1208 Delta Avenue, Cincinnati OH 45208. Mr. Hambleton is a Limited Partner, with no duties for this equestrian and horse racing business. Mr. Hambleton started in this role in November 2017 and spends no time during business hours on this non-investment related activity.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 1998-12-16 |
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