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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-07-14 |
| TX | RA | APPROVED | 2025-05-30 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
800 Newport Center Drive Suite 650, Newport Beach, CA 92660 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-07-14 |
| TX | RA | APPROVED | 2025-05-30 |
Branch Locations
800 Newport Center Drive, Suite 650, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc | Los Angeles | CA | 07/2012 | 10/2016 |
| Db Trust Company Americas | Los Angeles | CA | 06/2012 | 10/2016 |
| First Foundation Advisors | Los Angeles | CA | 11/2016 | 05/2025 |
| Rockefeller Capital Management | Newport Beach | CA | 05/2025 | Present |
| Rockefeller Financial Llc | Newport Beach | CA | 05/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-09-15 |
| S65 | Uniform Investment Adviser Law Examination | 1998-08-17 |
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