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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-05-20 |
| WA | RA | APPROVED | 2022-05-20 |
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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Seattle | WA | 06/2009 | 05/2022 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 05/2022 |
| Rockefeller Financial Llc | Bellevue | WA | 05/2022 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | Present |
1. *424853 - NA Bison LLC; Investment related -Yes; Bellevue, Washington; LLC to hold private investments; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 03/2021; During business hours: 0; After business hours: 1; Administrative 2. Apex Canine, LLC; Non-investment related; 30 N. Gould Street, Suite N, Sheridan, WY; Owner; 05/01/2026; 40 hours a month and 0 hours during trading hours; Pet food supplements.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-09-06 |
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