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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-07-20 |
| CA | RA | APPROVED | 2020-06-22 |
Branch Locations
Two Embarcadero Center Suite 2320, San Francisco, CA 94111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 05/2012 | 06/2020 |
| Bank Of America, N.A. | San Francisco | CA | 10/2012 | 06/2020 |
| Rockefeller Financial Llc | San Francisco | CA | 06/2020 | Present |
| Rock & Co Llc | San Francisco | CA | 06/2020 | Present |
I*76845 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NA - RENTAL PROPERTY ON LA GOMA ST., MILL VALLEY INVESTMENT RELATED: N ADDRESS OF BUSINESS: 125 AND 125A LA GOMA ST., MILL VALLEY, CALIFORNIA 94941 NATURE OF BUSINESS: OTHER,SAME AS ABOVE POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 8/1/2014 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY - SINGLE FAMILY HOME WITH DETACHED COTTAGE. I*76846 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NA - RENTAL PROPERTY DORSET LANE MILL VALLEY, CA INVESTMENT RELATED: N ADDRESS OF BUSINESS: 20 DORSET LANE, MILL VALLEY, CALIFORNIA 94941 NATURE OF BUSINESS: OTHER,NOT A LEGAL ENTITY - RENTAL PROPERTY POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 7/11/2014 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY - SINGLE FAMILY HOME FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NO LEGAL NAME - RENTAL COTTAGE ON OUR PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: MILL VALLEY, CALIFORNIA 94941 NATURE OF BUSINESS: OTHER, NO CORPORATE OR BUSINESS STRUCTURE POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 7/1/2013 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: WE PURCHASED A HOME THAT HAS A RENTAL PROPERTY THAT WE RENT OUT.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-08-24 |
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