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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-06-18 |
| IL | RA | APPROVED | 2020-10-23 |
Branch Locations
222 West Adams Suite 2450, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Northbrook | IL | 07/2008 | 10/2020 |
| Bank Of America, Na | Northbrook | IL | 12/2009 | 10/2020 |
| Rockefeller Financial Llc | Chicago | IL | 10/2020 | 07/2026 |
| Rockefeller Financial Llc | Deerfield | IL | 08/2026 | Present |
1) Name of outside business organization: Riback Revocable Trust //Deerfield, Illinois 60015 // since 5/1/2019 // Devotes 1 hour(s) Annually, zero during trading hours 2) Briarwood Country Club; Non-investment related; 355 Deerfield Road, Deerfield, IL 60015; Board Member/Secretary; 12/01/2024; 5 hours a month and 0 hours during trading hours; As secretary - Take minutes of board meetings, sign checks, mortgage documents and other relevant documents. As Board Member - make decisions on behalf of the club, recruit new members, establish and enforce rules, maintenance and planning for club facilities and club house. I also serve on the House, Admissions and Long-Term Planning Committees.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-02-26 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-19 |
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