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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-08-15 |
| TX | RA | APPROVED | 2025-08-15 |
Branch Locations
800 Newport Center Drive Suite 650, Newport Beach, CA 92660 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-02-26 |
| TX | RA | APPROVED | 2021-02-26 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
800 Newport Center Drive Suite 650, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Laguna Hills | CA | 08/2009 | 02/2021 |
| Bank Of America,N.A. | Irvine | CA | 06/2011 | 02/2021 |
| Rockefeller Financial Llc | Newport Beach | CA | 02/2021 | Present |
| Rockefeller Capital Management | Newport Beach | CA | 08/2025 | Present |
Navigator Holdings LLC, Newport Beach, CA. Investment related. Owner since May 1, 2023. No activity in LLC. Set up to hold cash. Zero hours per month and Zero hours during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 1998-06-30 |
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