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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2025-10-30 |
| TX | RA | APPROVED | 2025-10-30 |
Branch Locations
4 Caufield Place Suite 101, Newtown, PA 18940 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2024-10-18 |
| TX | RA | APPROVED | 2024-10-18 |
Branch Locations
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
4 Caufield Place Suite 101, Newtown, PA 18940 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Trumark Financial Credit Union | Fort Washington | PA | 03/2016 | 03/2017 |
| Cuso Financial Services, Lp | San Diego | CA | 03/2016 | 11/2016 |
| Lpl Financial, Llc | Fort Washington | PA | 11/2016 | 03/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Yardley | PA | 03/2017 | 10/2024 |
| Bank Of America, N.A. | Yardley | PA | 05/2017 | 10/2024 |
| Rockefeller Financial Llc | Newtown | PA | 10/2024 | Present |
| Rockefeller Capital Management | Newtown | PA | 10/2025 | Present |
Dickinson College Football Alumni Council; Non-investment related; 28 N College St, Carlisle, PA 17013; Education; Secretary; 04/26/2017; 3 hours per month and 0 hours during trading hours. Alumni Association
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-08-01 |
| S63 | Uniform Securities Agent State Law Examination | 2015-08-19 |
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