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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-04-04 |
| TX | RA | APPROVED | 2025-03-28 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
Max At Kierland 16220 North Scottsdale Road, Scottsdale, AZ 85254 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-04-04 |
| TX | RA | APPROVED | 2025-03-28 |
Branch Locations
Max At Kierland 16220 North Scottsdale No Road, Scottsdale, AZ 85254 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Phoenix | AZ | 05/2012 | 03/2025 |
| Rockefeller Financial Llc | Scottsdale | AZ | 03/2025 | Present |
| Rockefeller Capital Management | Scottsdale | AZ | 03/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-07-26 |
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