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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-07-05 |
| TX | RA | APPROVED | 2023-07-03 |
Branch Locations
Two Embarcadero Center, Suite 2320, San Francisco, CA 94111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-06-16 |
| TX | RA | APPROVED | 2023-06-16 |
Branch Locations
Two Embarcadero Center Suite 2320, San Francisco, CA 94111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Trainer Wortham | San Francisco | CA | 09/2004 | 06/2023 |
| First Republic Investment Management, Inc. | San Francisco | CA | 09/2004 | 06/2023 |
| Rockefeller Financial Llc | San Francisco | CA | 06/2023 | Present |
| Rockefeller Capital Management | San Francisco | CA | 07/2023 | Present |
1) Name: Tranquility, Inc. Address: Houma, Louisiana Investment-related: No Nature of the business: family real-estate business Role: President Start Date: December, 2016 Description of duties: family business Number of hours each month: 1 hour Number of hours during trading: None
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-03-07 |
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