Best Investors
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Account
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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-09-19 |
| TX | RA | APPROVED | 2025-09-19 |
Branch Locations
8 Sound Shore Drive Suite 200, Greenwich, CT 06830 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-06-18 |
| CT | RA | APPROVED | 2020-09-16 |
Branch Locations
8 Sound Shore Drive Suite 200, Greenwich, CT 06830 • United States
45 Rockefeller Plaza, New York, NY 10111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northern Trust Bank | New York | NY | 05/2013 | 09/2020 |
| Northern Trust Securities, Inc. | New York | NY | 06/2017 | 09/2020 |
| Rockefeller Financial Llc | Greenwich | CT | 09/2020 | Present |
| Rockefeller & Company | Greenwich | CT | 09/2020 | 12/2023 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-08-17 |
| S63 | Uniform Securities Agent State Law Examination | 2017-08-03 |
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