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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-10-25 |
| WA | RA | APPROVED | 2024-10-25 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
10500 Ne 8Th Street, Suite 875, Bellevue, WA 98004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Seattle | WA | 11/2006 | 04/2018 |
| Columbia Pacific Wealth Management | Seattle | WA | 04/2018 | 08/2023 |
| Corient | Seattle | WA | 01/2023 | 10/2024 |
| Cipw Service Company, Llc | Toronto | 01/2022 | 07/2023 | |
| Corient Services Llc | Miami | FL | 07/2023 | 10/2024 |
| Rockefeller Financial Llc | Bellevue | WA | 10/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-04-28 |
| S66 | Uniform Combined State Law Examination | 2006-12-07 |
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