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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2026-03-12 |
| TX | RA | APPROVED | 2022-11-04 |
Branch Locations
9950 Woodloch Forest Tower, 4Th Floor, The Woodlands, TX 77380 • United States
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
Cashiers, NC • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 10/2005 | 11/2022 |
| Bank Of America, N.A. | Houston | TX | 12/2009 | 11/2022 |
| Rockefeller Financial Llc | Houston | TX | 11/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 2005-02-04 |
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