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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-10-31 |
| TX | RA | APPROVED | 2025-10-31 |
Branch Locations
45 Rockefeller Plaza, Ny, NY 10111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-06-16 |
| TX | RA | APPROVED | 2023-06-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Investment Management | New York | NY | 11/2011 | 04/2017 |
| First Republic Securities Company, Llc | New York | NY | 10/2013 | 04/2017 |
| First Republic Investment Management, Inc. | New York | NY | 04/2017 | 06/2023 |
| First Republic Securities Company, Llc | New York | NY | 04/2017 | 06/2023 |
| Rockefeller Financial Llc | Ny | NY | 06/2023 | Present |
| Rockefeller Capital Management | Ny | NY | 10/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-08-05 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-06 |
| S65 | Uniform Investment Adviser Law Examination | 1998-04-02 |
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