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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-07-20 |
| TX | RA | APPROVED | 2026-07-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 07/2014 | 05/2025 |
| Bank Of America, N.A. | New York | NY | 08/2014 | 05/2025 |
| Morgan Stanley Smith Barney Llc | New York | NY | 05/2025 | 07/2026 |
| Rockefeller Financial Llc | New York | NY | 07/2026 | Present |
*676785 - Bergen County Model Railroad Club, Inc; Investment related: No; Ho-Ho-Kus, New Jersey; Recreation; Treasurer (proprietor, partner, officer, director, employee, trustee, agent); 01/2026; During business hours: 0; After business hours: 5; Accounting/Bookkeeping:Check Signing/Funds Disbursements
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-03-19 |
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