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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-02-11 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc. | Jacksonville | FL | 08/2016 | 10/2019 |
| Db Usa Core Corporation | Jacksonville | FL | 01/2017 | 10/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Jacksonville | FL | 10/2019 | 04/2022 |
| Goldman Sachs Company | Dallas | TX | 05/2022 | 02/2025 |
| Rockefeller Financial Llc | Dallas | TX | 02/2025 | Present |
| Rockefeller Capital Management | Dallas | TX | 02/2025 | Present |
14793 FALLING WATERS DR, LLC; Investment related; Jacksonville, FL; Owner; 08/14/2025; 4 hours a month and 0 hours during trading hours; LLC owns a rental property.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 2011-09-19 |
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