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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2023-04-25 |
| TX | RA | APPROVED | 2023-04-20 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2018-12-11 |
| TX | RA | APPROVED | 2018-12-07 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rockefeller Financial Llc | Atlanta | GA | 12/2018 | Present |
| Rockefeller Capital Management | Atlanta | GA | 04/2023 | Present |
| Ubs Financial Services Inc | Atlanta | GA | 09/2008 | 12/2018 |
Since March 2014, Mr. Epperson has served as a member of the board of directors of Care Services Inc., a pharmacy distribution firm located in Raleigh, North Carolina. Mr. Epperson's job duties include participating in board meetings, but do not include any operational related activities. Mr. Epperson devotes five hours per month to this business of which none take place during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-12-07 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-09 |
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