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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-17 |
| CT | RA | APPROVED | 2023-08-24 |
Branch Locations
300 First Stamford Place Suite 230, Stamford, CT 06902 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-09-22 |
| CT | RA | APPROVED | 2025-09-19 |
Branch Locations
300 First Stamford Place, Stamford, CT 06902 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fieldpoint Private Securities Llc | Greenwich | CT | 01/2015 | 03/2018 |
| Keefe, Bruyette & Woods Inc | New York | NY | 03/2018 | 08/2020 |
| Bienville Capital Management | New York | NY | 11/2021 | 03/2023 |
| Unemployed | New Canaan | CT | 08/2020 | 10/2021 |
| Rockefeller Financial Llc | Stamford | CT | 04/2023 | Present |
| Rockefeller Capital Management | Stamford | CT | 09/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-11-08 |
| S65 | Uniform Investment Adviser Law Examination | 2022-03-29 |
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