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Karen Yvonne Henderson

Rockefeller Financial LLC

Los Angeles, CA

Bellevue, WA

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Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-05-20
WA RA APPROVED 2022-05-20
  • TX RA
    APPROVED
    Since 2022-05-20
  • WA RA
    APPROVED
    Since 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

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 & Co., Incorporated Seattle WA 04/2007 05/2022
Morgan Stanley Smith Barney Seattle WA 06/2009 05/2022
Rockefeller Financial Llc Bellevue WA 05/2022 Present
  • 04/2007 → 05/2022
    Morgan Stanley & Co., Incorporated
    Seattle, WA
  • 06/2009 → 05/2022
    Morgan Stanley Smith Barney
    Seattle, WA
  • 05/2022 → Present
    Rockefeller Financial Llc
    Bellevue, WA
Previous Registrations
  • 2009-06-01 → 2022-06-02
    Morgan Stanley
    Seattle, WA
    Seattle, WA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Seattle, WA
  • 2005-02-11 → 2007-04-02
    Morgan Stanley Dw Inc.
    Seattle, WA
    Seattle, WA
Other Businesses

Notary Public. Not investment related. Seattle, WA. 10/27/2012. 0 hours a month and 0 hours during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-02-05
  • S66 Uniform Combined State Law Examination
    2001-02-05
Other Names
  • Karen Yvonne Acuff

View on SEC IAPD

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