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Anne Frances Norwood

Rockefeller Financial LLC

Atlanta, GA

Mesquite, NV

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2024-10-15
NV RA APPROVED 2024-10-14
TX RA APPROVED 2024-10-11
  • SC RA
    APPROVED
    Since 2024-10-15
  • NV RA
    APPROVED
    Since 2024-10-14
  • TX RA
    APPROVED
    Since 2024-10-11

Branch Locations

3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States

Mesquite, NV • 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
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Savannah GA 06/2009 10/2024
Rockefeller Financial Llc Mesquite NV 10/2024 Present
Previous Registrations
  • 2009-06-01 → 2024-10-29
    Morgan Stanley
    Pasadena, CA
    Valencia, CA
    Mesquite, NV
    Mesquite, NV
    Savannah, GA
  • 2008-11-06 → 2009-06-01
    Citigroup Global Markets Inc.
    Glendale, CA
  • 2008-06-17 → 2008-11-05
    Morgan Stanley & Co. Llc
    Valencia, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-04-02
S63 Uniform Securities Agent State Law Examination 1999-07-29
  • S65 Uniform Investment Adviser Law Examination
    2008-04-02
  • S63 Uniform Securities Agent State Law Examination
    1999-07-29
Other Names
  • Anne Frances Creamer

View on SEC IAPD

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Other Offices

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BISON WEALTH, LLC · ATLANTA, GA
BRIGHTER INVESTING, PB LLC · ATLANTA, GA
RBC CAPITAL MARKETS, LLC · Atlanta, GA
HB WEALTH · Atlanta, GA
AMERIPRISE FINANCIAL SERVICES, LLC · Atlanta, GA
NEWEDGE ADVISORS · Atlanta, GA

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