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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-18 |
| CA | RA | APPROVED | 2025-10-17 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-10-17 |
| TX | RA | APPROVED | 2025-10-17 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Beverly Hills | CA | 06/2009 | 10/2025 |
| Rockefeller Capital Management | Los Angeles | CA | 10/2025 | Present |
| Rockefeller Financial Llc | Los Angeles | CA | 10/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-07-16 |
| S63 | Uniform Securities Agent State Law Examination | 2005-04-05 |
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