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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-09-15 |
| TX | RA | APPROVED | 2023-09-15 |
Branch Locations
1838 Sir Tyler Drive, Suite 102, Wilmington, NC 28405 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Wilmington | NC | 03/2011 | 09/2023 |
| Goodfellas Nightlife | Wilmington | NC | 10/2005 | 03/2020 |
| Rockefeller Financial Llc | Wilmington | NC | 09/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-05-20 |
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