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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-02-08 |
| TX | RA | APPROVED | 2024-02-08 |
Branch Locations
5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209 • United States
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 |
|---|---|---|---|---|
| Global Alternative Investment Services Inc. | Charlotte | NC | 01/2018 | 10/2018 |
| Wells Fargo Investment Institute Inc. | Charlotte | NC | 01/2018 | 10/2018 |
| Nyes Ledge Capital Management Llc | Boston | MA | 01/2014 | 12/2017 |
| Questar Capital Corporation | Minneapolis | MN | 10/2018 | 03/2019 |
| Questar Asset Management | Minneapolis | MN | 10/2018 | 03/2019 |
| Woodbury Financial Services, Inc. | Charlotte | NC | 03/2019 | 03/2020 |
| Morgan Stanley Smith Barney Llc | Charlotte | NC | 03/2020 | 02/2024 |
| Morgan Stanley Private Bank, N.A | New York | NY | 04/2020 | 02/2024 |
| Rockefeller Financial Llc | Charlotte | NC | 02/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 04/2020 | Present |
1. *397682 - HighStreet Partners; Investment related Yes; Charlotte, North Carolina; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); Aug 2018; During business hours: 0; After business hours: 0; 2. *530482 - PIMCA, inc; Investment related-Yes; Charlotte, North Carolina; Other; Partner (proprietor, partner, officer, director, employee, trustee, agent); 04/2021; During business hours: 0; After business hours: 0; This is strictly a passthrough entitty 3. *536676 - PIMCA Raleigh, LLC; Investment related-Yes; Raleigh, North Carolina; Manufacturing; Partner (proprietor, partner, officer, director, employee, trustee, agent); 12/2022; During business hours: 0; After business hours: 0; Other
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-08-20 |
| S63 | Uniform Securities Agent State Law Examination | 2018-05-18 |
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