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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2025-10-30 |
| TX | RA | APPROVED | 2025-10-30 |
Branch Locations
4 Caufield Place Suite 101, Newtown, PA 18940 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2024-10-18 |
| TX | RA | APPROVED_RES | 2024-10-18 |
Branch Locations
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
4 Caufield Place Suite 101, Newtown, PA 18940 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Princeton | NJ | 01/1998 | 10/2024 |
| Bank Of America,N.A. | Yardley | PA | 06/2011 | 10/2024 |
| Rockefeller Financial Llc | Newtown | PA | 10/2024 | Present |
| Rockefeller Capital Management | Newtown | PA | 10/2025 | Present |
I*30519 For profit or not for profit: For-Profit Organization Name of outside business organization: The DiMedio Foundation for Children Investment related: N Address of business: Newtown, Pennsylvania 18940 Nature of business: Charitable Organization,Non for Profit Position, title, association: Owner, Start date of relationship: 1/22/2008 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Officer Director/Board Member Raise funds for children in need
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-08-29 |
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