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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2026-01-23 |
| TX | RA | APPROVED | 2025-01-02 |
| NY | RA | APPROVED | 2024-12-05 |
Branch Locations
2603 East Parleys Way, Salt Lake City, UT 84109 • United States
45 Rockefeller Plaza, New York, NY 10111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2026-01-23 |
| NY | RA | APPROVED | 2025-03-13 |
| TX | RA | APPROVED | 2025-03-13 |
Branch Locations
45 Rockefeller Plaza, 5Th Floor, Ny, NY 10111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Houlihan Lokey Capital, Inc. | New York | NY | 07/2021 | 09/2023 |
| University Of Utah | Salt Lake City | UT | 08/2016 | 05/2021 |
| Houlihan Lokey | New York City | NY | 07/2020 | 08/2020 |
| Rockefeller Financial Llc | Ny | NY | 02/2024 | 01/2026 |
| Travel | New York City | NY | 09/2023 | 02/2024 |
| Rockefeller Capital Management | Ny | NY | 03/2025 | 01/2026 |
| Rockefeller Capital Management | Salt Lake City | UT | 01/2026 | Present |
| Rockefeller Financial Llc | Salt Lake City | UT | 01/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-12-04 |
| S63 | Uniform Securities Agent State Law Examination | 2021-09-24 |
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