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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-02-20 |
| NY | RA | APPROVED | 2021-03-22 |
| TX | RA | APPROVED | 2021-02-01 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-02-20 |
| NY | RA | APPROVED | 2024-02-16 |
| TX | RA | APPROVED | 2024-02-16 |
Branch Locations
45 Rockefeller Plaza, 5Th Floor, Ny, NY 10111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Barclays Capital Inc. | New York | NY | 08/2012 | 04/2020 |
| Stifel, Nicolaus & Company, Incorporated | St. Louis | MO | 12/2015 | 04/2020 |
| Rockefeller Financial Llc | New York | NY | 04/2020 | Present |
| Rock & Co Llc | New York | NY | 04/2020 | 03/2023 |
HMC Advisors LLC; Investment related; 416 West 51st Street, NY, NY 10019; Member of the LLC; 11/01/2024. 0 hours a month and 0 hours during trading hours. LLC created as an investment instrument.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-07-02 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-30 |
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