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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2025-04-17 |
| TX | RA | APPROVED | 2025-04-17 |
Branch Locations
222 West Adams Suite 2450, Chicago, IL 60606 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2025-04-17 |
| TX | RA | APPROVED | 2025-04-17 |
Branch Locations
227 West Monroe, Suite 2050, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 10/2014 | 02/2025 |
| Bank Of America, N.A. | Chicago | IL | 10/2014 | 04/2025 |
| Rockefeller Capital Management | Chicago | IL | 04/2025 | Present |
| Rockefeller Financial Llc | Chicago | IL | 04/2025 | Present |
"NORTHWESTERN MEMORIAL PHYSICAN GROUP CENTER FOR INTEGRATIVE MEDICINE & WELLNESS ADVISORY COUNCIL/ CHICAGO, IL 60611 / MEMBER OF THE ADVISORY COUNCIL PROVIDING GUIDANCE FOR THE CENTER / MEMBER OF THE ADVISORY COUNCIL (NOT A LEGAL ENTITY OR BOARD) / POTENTIAL DEALINGS WITH UBS: START DATE 06/16/2010 / 3HRS PER MONTH
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-07-30 |
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