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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-01-31 |
| TX | RA | APPROVED | 2025-01-31 |
Branch Locations
321 Broadway, Saratoga Springs, NY 12866 • 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 | 2025-01-31 |
| TX | RA | APPROVED | 2025-01-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Saratoga Springs | NY | 07/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Saratoga Springs | NY | 11/2016 | 01/2017 |
| Janney Montgomery Scott Llc | Albany | NY | 01/2017 | 01/2025 |
| Rockefeller Financial Llc | Saratoga Springs | NY | 01/2025 | Present |
| Rockefeller Capital Management | Saratoga Springs | NY | 01/2025 | Present |
1) Skidmore College, Saratoga Springs, NY; Not Investment Related; Title/Position: Volunteer Assistant Men's Lacrosse Coach; Duties: Assist with running practices, designing drills, skill development, watching game film, strategizing, etc.; Start 02/07/2022; Devotes: 16 hrs./month; Not compensated.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-10-01 |
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