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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-11-14 |
| TX | RA | APPROVED | 2025-11-14 |
Branch Locations
5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209 • United States
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-11-14 |
| TX | RA | APPROVED | 2025-11-14 |
Branch Locations
5605 Carnegie Blvd Suite 220, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Armed Forces | Fort Bragg | NC | 05/2010 | 07/2020 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 07/2020 | 11/2025 |
| Northwestern Mutual Investment Services Llc | Charlotte | NC | 11/2020 | 11/2025 |
| Innostrat Llc | Southern Pines | NC | 01/2020 | 12/2023 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 07/2021 | 11/2025 |
| Rockefeller Financial Llc | Charlotte | NC | 11/2025 | Present |
| Rockefeller Capital Management | Charlotte | NC | 11/2025 | Present |
1. BOARD MEMBER, VETERAN'S BRIDGE HOME, 5260 PARKWAY PLAZA BLVD, 110, CHARLOTTE, , NORTH CAROLINA, 28217, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 1/1/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, BOARD MEMBER - NON SPECIFIC, NOT INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2021-06-04 |
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