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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2024-06-06 |
| MA | RA | APPROVED | 2021-06-03 |
| TX | RA | APPROVED_RES | 2021-05-15 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
Provo, UT • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Boston | MA | 11/2013 | 05/2021 |
| Rockefeller Financial Llc | Boston | MA | 05/2021 | Present |
| Rockefeller Financial Llc | Provo | UT | 06/2024 | Present |
Meadowbrook School of Weston / Weston Weston,MA 02116 / Other/ Education / Private School / Trustee / / Trustee Meetings, committee service / Start Date 06/30/2014/ Private School /
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-20 |
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