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John A Bazan

Rockefeller Financial LLC

Dallas, TX

Rockefeller Capital Management

Dallas, TX

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-03-28
  • TX RA
    APPROVED
    Since 2025-03-28

Branch Locations

300 Crescent Court Suite 1450, Dallas, TX 75201 • United States

Rockefeller Capital Management

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-03-28
  • TX RA
    APPROVED
    Since 2025-03-28

Branch Locations

300 Crescent Court, Suite 1450, Dallas, TX 75201 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Dallas TX 10/2010 03/2025
Bank Of America, N.A. Dallas TX 01/2011 03/2025
Rockefeller Financial Llc Dallas TX 03/2025 Present
Rockefeller Capital Management Dallas TX 03/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-02-07
S63 Uniform Securities Agent State Law Examination 2004-07-02
  • S66 Uniform Combined State Law Examination
    2011-02-07
  • S63 Uniform Securities Agent State Law Examination
    2004-07-02
Other Names
  • John A. Bazan
  • John Anthony Bazan

View on SEC IAPD

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