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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-04-24 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
1600 West Loop South, Suite 700, Houston, TX 77027 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Somerset | NJ | 06/1998 | 04/2026 |
| Rockefeller Financial Llc | Houston | TX | 04/2026 | Present |
I*2609277, Entity Type: , Name of OBA: Rental Property 1, Address: Houston, Texas, 77078, Investment Related: N, Position, Title, Association: Sole owner, Employee State Date: 01/02/2025, No Hours: 1 Weekly, No Hours during Trading: 0 Weekly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 1998-12-18 |
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