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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-11-24 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Dallas | TX | 09/2003 | 11/2019 |
| Bank Of America, Na | Dallas | TX | 12/2009 | 11/2019 |
| Rockefeller Financial Llc | Dallas | TX | 11/2019 | Present |
| Rock & Co Llc | Dallas | TX | 11/2019 | Present |
Mr. Ashley is a licensed insurance agent with RCM Insurance Svces LLC, an affiliate of the firm. Ashley Family Farms LLC; Investment Related; Southlake, TX; Investment Vehicle; LLC member; 11/01/2021; 1 hour per month; 0 hours during trading hours; LLC to facilitate investments.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-05-13 |
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