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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-05-11 |
| TX | RA | APPROVED | 2022-05-11 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
750 University Ave , Suite 240, Los Gatos, CA 95032 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Minnesota Life | St. Paul | MN | 07/2014 | 05/2018 |
| Sgc Financuial Services Inc. | San Mateo | CA | 07/2014 | 05/2018 |
| Securian Financial Services Inc. | St. Paul | MN | 07/2014 | 05/2018 |
| Morgan Stanley | Los Gatos | CA | 09/2018 | 04/2022 |
| Unemployed | Sunnyvale | CA | 05/2018 | 09/2018 |
| First Republic Securities Company, Llc | Palo Alto | CA | 04/2022 | 05/2022 |
| First Republic Investment Management, Inc. | Palo Alto | CA | 04/2022 | 05/2022 |
| Rockefeller Financial Llc | Campbell | CA | 05/2022 | 12/2022 |
| Rockefeller Financial Llc | Campbell | CA | 01/2023 | Present |
| Rockefeller Capital Management | Los Gatos | CA | 02/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-05-27 |
| S63 | Uniform Securities Agent State Law Examination | 2013-11-16 |
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