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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Woodlands | TX | 08/2020 | 11/2022 |
| Bank Of America | Houston | TX | 08/2008 | 08/2020 |
| University Of Houston Downtown | Houston | TX | 08/2016 | 05/2021 |
| Rockefeller Financial Llc | Houston | TX | 11/2020 | Present |
Bailey Middle School PTO Not investment related 3377 James C Leo, Spring, TX, 77373 Parent Teacher Organization/Education Parent Volunteer PTO Secretary This is my son's middle school he currently attends 8/16/2022 4 hours per month devoted to this 0 hours during securities trading hours, it's all after school hours and on weekends only I attend the PTO meetings to take meeting minutes, I update the PTO website, and I volunteer as needed at school functions. 2) Door Dash Inc. 303 2nd St., Suite 800, San Francisco, CA 94107. Not Investment Related. Independent contractor. 10/28/2023. 24 hours per month and 0 hours during trading hours. Deliver food to door dash customers. 3) Uber; Non-Investment Related; 1455 Market St., #400, San Francisco, CA 94103; Independent Contractor; Driver, 07/22/2024; 32 hours per month and 0 hours during trading hours; Rides and food delivery. 4) PF Changs; Non-investment related; The Woodlands, TX; Restaurant; Server; 06/25/2025; 60 hours a month and 0 hours during trading hour; Serve food, beverages, close tabs, and general restaurant duties.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-09-30 |
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