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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2021-09-03 |
| TX | RA | APPROVED | 2021-09-03 |
Branch Locations
222 West Adams Suite 2450, Chicago, IL 60606 • United States
3825 Edwards Road - Suite 630, Cincinnati, OH 45209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cincinnati | OH | 06/1998 | 09/2021 |
| Bank Of America, N.A. | Cincinnati | OH | 05/2011 | 09/2021 |
| Rockefeller Financial Llc | Cincinnati | OH | 09/2021 | Present |
I*53863 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY - 3330 WALWORTH AVE, LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: CINCINNATI, OHIO 45226 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 6/1/2007 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS PROPERTY WAS FORMERLY MY PRIMARY RESIDENCE. I AM NOW RENTING THE PROPERTY.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1998-09-21 |
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