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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-07-20 |
| CA | RA | APPROVED | 2020-06-22 |
Branch Locations
Two Embarcadero Center Suite 2320, San Francisco, CA 94111 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 02/2004 | 06/2020 |
| Bank Of America, N.A. | San Francisco | CA | 09/2009 | 06/2020 |
| Rockefeller Financial Llc | San Francisco | CA | 06/2020 | Present |
| Rock & Co Llc | San Francisco | CA | 06/2020 | Present |
I*25706 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL UNIT IN MY BACK YARD INVESTMENT RELATED: N ADDRESS OF BUSINESS: MILL VALLEY, CALIFORNIA NATURE OF BUSINESS: OTHER,NO CORPORATE STRUCTURE - NA - PERSONALLY OWNED POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 5/11/2005 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: HALF OWNER I*6561 For profit or not for profit: Name of outside business organization: Rental Property Investment related: Address of business: Mill Valley, California 94941 Nature of business: Rental Property Position, title, association: , Start date of relationship: 7/1/2015 Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0 Duties: I*137 For profit or not for profit: Name of outside business organization: Rental Unit in my back yard Investment related: Address of business: Mill Valley, California 94941 Nature of business: , Position, title, association: , Start date of relationship: 5/11/2005 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-07-10 |
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