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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-04-03 |
| NJ | RA | APPROVED | 2026-03-11 |
| TX | RA | APPROVED | 2026-03-10 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
Boca Raton, FL • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-12-26 |
| NJ | RA | APPROVED | 2025-12-19 |
| TX | RA | APPROVED | 2025-12-19 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
Boca Raton, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 12/2015 | 12/2025 |
| Rockefeller Financial Llc | Boca Raton | FL | 12/2025 | Present |
| Rockefeller Financial Llc | Florham Park | NJ | 12/2025 | Present |
| Rockefeller Capital Management | Boca Raton | FL | 03/2026 | Present |
| Rockefeller Capital Management | Florham Park | NJ | 03/2026 | Present |
1)Haole Boy LLC; Investment Related; Private holding company for private investments; Managing Member;1/01/2020; 0 hrs. per month; 0 hrs. during trading hours; Private investments. 2) AB SOHO Properties LLC; Investment Related; Boca Raton, FL; Rental property; Managing Member & half owner of LLC; 11/01/2025; 0 hrs. per month; 0 hours during trading hours. Personal rental property
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-11-19 |
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