Amalia Marie Rockafellow

Rbc Capital Markets, LLC

Hunt Valley, MD

Lutherville, MD

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Current Employers

Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-07-18
MD	RA	APPROVED	2024-07-15

TX RA
APPROVED

Since 2024-07-18
MD RA
APPROVED

Since 2024-07-15

Branch Locations

225 Schilling Circle Suite 250, Hunt Valley, MD 21031-1125 • United States

Lutherville, MD • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Hightower Advisors, Llc	Hunt Valley	MD	02/2012	04/2017
Hightower Securities, Llc	Hunt Valley	MD	02/2012	04/2017
Ubs Financial Services Inc	Fort Myers	FL	08/2017	08/2018
Unemployed	Fort Myers	FL	05/2017	07/2017
Morgan Stanley	Naples	FL	01/2020	07/2024
Ubs Financial Services Inc	Bonita Springs	FL	08/2018	11/2019
Rbc Capital Markets, Llc	Hunt Valley	MD	07/2024	Present

02/2012 → 04/2017

Hightower Advisors, Llc

Hunt Valley, MD
02/2012 → 04/2017

Hightower Securities, Llc

Hunt Valley, MD
08/2017 → 08/2018

Ubs Financial Services Inc

Fort Myers, FL
05/2017 → 07/2017

Unemployed

Fort Myers, FL
01/2020 → 07/2024

Morgan Stanley

Naples, FL
08/2018 → 11/2019

Ubs Financial Services Inc

Bonita Springs, FL
07/2024 → Present

Rbc Capital Markets, Llc

Hunt Valley, MD

Previous Registrations

2020-02-06 → 2024-07-17

Morgan Stanley

Fort Myers, FL

Naples, FL

Lutherville, MD

Lutherville, MD
2017-09-07 → 2019-11-21

Ubs Financial Services Inc.

Fort Myers, FL

Bonita Springs, FL
2012-02-17 → 2017-11-21

Hightower Advisors, Llc

Sparks, MD

Hunt Valley, MD
2005-05-23 → 2012-02-21

Merrill Lynch, Pierce, Fenner & Smith Incorporated

York, PA

Baltimore, MD

Philadelphia, PA

Hunt Valley, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-05-20
S63	Uniform Securities Agent State Law Examination	1999-05-01

S65 Uniform Investment Adviser Law Examination

2005-05-20
S63 Uniform Securities Agent State Law Examination

1999-05-01

Other Names

Molly Rockafellow
Amalia Marie Rockafellow
Amalia M Rockafellow

View on SEC IAPD

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Other Investors

Andrew Benjamin Anthony

LANCE REID SCOTT

JOHN FRANCIS MORAN

Jack Richard Sweiderk

WILSON CROSBY TALIAFERRO

Cristina Polvinale Kothari

JOHN LUKE CHARLTON

Other Offices

BAY HARBOR WEALTH MANAGEMENT, LLC · HUNT VALLEY, MD

ABS CAPITAL PARTNERS, INC. · HUNT VALLEY, MD

GROFF WEALTH MANAGEMENT · HUNT VALLEY, MD

MONUMENTAL WEALTH, LLC · HUNT VALLEY, MD

BUSH RIVER TRUST, LLC · HUNT VALLEY, MD

OSAIC WEALTH, INC. · HUNT VALLEY, MD

INDEPENDENT FINANCIAL PARTNERS · Hunt Valley, MD

AE WEALTH MANAGEMENT, LLC · Hunt Valley, MD

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