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Account
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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2025-10-30 |
| TX | RA | APPROVED | 2025-10-30 |
Branch Locations
4 Caufield Place Suite 101, Newtown, PA 18940 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2024-10-18 |
| TX | RA | APPROVED | 2024-10-18 |
Branch Locations
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
4 Caufield Place Suite 101, Newtown, PA 18940 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 09/2013 | 03/2018 |
| Starbucks Corporation | Newtown | PA | 04/2018 | 08/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Yardley | PA | 08/2019 | 06/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Yardley | PA | 07/2022 | 03/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Yardley | PA | 04/2023 | 10/2024 |
| Rockefeller Financial Llc | Newtown | PA | 10/2024 | Present |
| Rockefeller Capital Management | Newtown | PA | 10/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-08-25 |
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