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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 |
|---|---|---|---|---|
| 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 |
Name: SHE-CAN Global Address: Mill Valley, CA Investment-related: No Nature of the business: non-profit organization mentoring and young women from post-conflict countries Role: Mentor and Board Member Start Date: February, 2012 Description of duties: Mentoring 2 young women and Board related duties Number of hours each month: 15 hours Number of hours during trading: None
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-02-16 |
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