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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2023-01-27 |
| TX | RA | APPROVED_RES | 2021-05-01 |
| CA | RA | APPROVED | 2021-04-30 |
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
Heber City, UT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Newport Beach | CA | 03/2012 | 04/2021 |
| Rockefeller Financial Llc | Los Angeles | CA | 04/2021 | 01/2023 |
| Rockefeller Financial Llc | Heber City | UT | 01/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-03-26 |
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