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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-05-23 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Plano | TX | 08/2007 | 05/2022 |
| Rockefeller Financial Llc | Dallas | TX | 05/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 2001-01-08 |
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