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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-09-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691) | Dallas | TX | 08/2009 | 11/2019 |
| Rockefeller Financial Llc | Dallas | TX | 11/2019 | 09/2021 |
| Rock & Co Llc | Dallas | TX | 11/2019 | 09/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Frisco | TX | 09/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 2007-06-28 |
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