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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2025-10-30 |
| TX | RA | APPROVED | 2025-10-30 |
Branch Locations
4 Caufield Place Suite 101, Newtown, PA 18940 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2024-10-18 |
| TX | RA | APPROVED | 2024-10-18 |
Branch Locations
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
4 Caufield Place Suite 101, Newtown, PA 18940 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 09/2004 | 10/2024 |
| Bank Of America, N.A | Princeton | NJ | 09/2009 | 10/2024 |
| Rockefeller Financial Llc | Newton | PA | 10/2024 | Present |
| Rockefeller Capital Management | Newtown | PA | 10/2025 | Present |
I*1330247 For profit or not for profit: Name of outside business organization: Doane Academy Investment related: N Address of business: OBA, OBA, OBA Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , I am being nominated to the Board of Trustees to join the Finance Committee.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-06-17 |
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