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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-13 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
200 W 6Th Street, Suite 2600, Austin, TX 78701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Austin | TX | 10/2009 | 01/2023 |
| Rockefeller Financial Llc | Austin | TX | 01/2023 | Present |
1) CBJG Investments DBA Sugar Grove Investments; Investment Related; Austin, TX; Investment Vehicle; Owner; 2/25/2020; 0 hours per month; 0 hours during trading hours; LLC to facilitate investments 2) 3LJ Investments LLC; Investment Related; Austin, TX; Investment Vehicle; Part Owner; 3/1/2020; 1 hour per month; 0 hours during trading hours; LLC to facilitate investments.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-09-16 |
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