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Account
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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-08-09 |
Branch Locations
1600 West Loop South, Suite 700, Houston, TX 77027 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-05-22 |
Branch Locations
1600 West Loop South, Suite 700, Houston, TX 77027 • United States
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc. | Houston | TX | 09/2004 | 09/2016 |
| Raymond James & Associates, Inc. | Houston | TX | 09/2016 | 05/2020 |
| Rockefeller Financial Llc | Dallas | TX | 05/2020 | Present |
| Rockefeller Capital Management | Houston | TX | 08/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 2005-04-09 |
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