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501 Commerce Street, Nashville, TN 37203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2026-05-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Tysons Corner | VA | 02/2015 | 10/2017 |
| Charles Schwab Bank | Tysons Corner | VA | 05/2016 | 10/2017 |
| The Ayco Company, L.P./Mercer Allied | Saratoga Springs | NY | 11/2017 | 02/2019 |
| Sanford C. Bernstein & Co., Llc. | Boston | MA | 02/2019 | 05/2020 |
| Rockefeller Financial Llc | Saratoga Springs | NY | 05/2020 | 03/2023 |
| Rock & Co Llc | Saratoga Springs | NY | 05/2020 | 03/2023 |
| Rockefeller Financial Llc | Mountain View | CA | 04/2023 | 12/2025 |
| Rockefeller Capital Management | Mountain View | CA | 04/2023 | 12/2025 |
| Rockefeller Financial Llc | Menlo Park | CA | 12/2025 | 04/2026 |
| Rockefeller Capital Management | Menlo Park | CA | 12/2025 | 04/2026 |
| Sanford C. Bernstein & Co., Llc. | Nashville | TN | 04/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-06-18 |
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