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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-11-01 |
| TX | RA | APPROVED | 2024-08-07 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
800 Newport Center Drive Suite 650, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Glendale | CA | 06/2010 | 07/2018 |
| First Republic Securities Company, Llc | Newport Beach | CA | 06/2022 | 07/2023 |
| First Republic Investment Management, Inc | Newport Beach | CA | 06/2022 | 07/2023 |
| Bank Of America | Laguna Niguel | CA | 07/2018 | 06/2022 |
| Rockefeller Financial Llc | Newport Beach | CA | 08/2024 | Present |
| J.P. Morgan Chase Bank | Newport Beach | CA | 07/2023 | 07/2024 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-10-07 |
| S66 | Uniform Combined State Law Examination | 2024-03-30 |
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