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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-05-23 |
| TX | RA | APPROVED | 2025-05-23 |
Branch Locations
500 Linden Oaks, Suite 110, Rochester, NY 14625 • United States
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 |
|---|---|---|---|
| NY | RA | APPROVED | 2025-05-23 |
| TX | RA | APPROVED | 2025-05-23 |
Branch Locations
500 Linden Oaks, Suite 110, Rochester, NY 14625 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sage, Rutty & Co., Inc. | Rochester | NY | 09/2004 | 05/2025 |
| Rockefeller Capital Management | Ny | NY | 05/2025 | Present |
| Rockefeller Financial Llc | Rochester | NY | 05/2025 | Present |
Snowmellow Alpine, Victor, NY. Alpine ski racing club. Compliance role since August 2024. Not compensated and he spends 5 hours a month on this role and zero hours during trading hours. Youth sports.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-03-06 |
| S66 | Uniform Combined State Law Examination | 2003-12-16 |
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