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James Alan Harding

Rockefeller Financial LLC

Grand Rapids, MI

Chicago, IL

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2024-01-12
TX RA APPROVED 2024-01-12
  • MI RA
    APPROVED
    Since 2024-01-12
  • TX RA
    APPROVED
    Since 2024-01-12

Branch Locations

45 Ottawa Ave Sw, Suite 700, Grand Rapids, MI 49503 • United States

222 West Adams Suite 2450, Chicago, IL 60606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Grand Rapids MI 11/2006 01/2024
Bank Of America,Na Grand Rapids MI 12/2009 01/2024
Rockefeller Financial Llc Grand Rapids MI 01/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-09
S63 Uniform Securities Agent State Law Examination 1998-10-27
  • S66 Uniform Combined State Law Examination
    2007-01-09
  • S63 Uniform Securities Agent State Law Examination
    1998-10-27
Other Names
  • Jim Harding

View on SEC IAPD

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