Mallory Findley

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2023-10-25

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Rollins College Crummer Graduate School Of Business	Winter Park	FL	09/2016	05/2018
Ubs Financial Services, Inc.	Weehawken	NJ	06/2018	06/2019
Venture Visionary Partners Llc	Sylvania	OH	01/2021	09/2022
The Expansion Group Inc./Expansion Venture Capital Llc	New York	NY	06/2019	11/2020
Source Financial Advisors, Llc	New York	NY	04/2021	09/2022
Morgan Stanley	New York	NY	09/2022	10/2023
Rockefeller Capital Management	Ny	NY	10/2023	Present
Rockefeller Financial Llc	Ny	NY	10/2023	Present

09/2016 → 05/2018

Rollins College Crummer Graduate School Of Business

Winter Park, FL
06/2018 → 06/2019

Ubs Financial Services, Inc.

Weehawken, NJ
01/2021 → 09/2022

Venture Visionary Partners Llc

Sylvania, OH
06/2019 → 11/2020

The Expansion Group Inc./Expansion Venture Capital Llc

New York, NY
04/2021 → 09/2022

Source Financial Advisors, Llc

New York, NY
09/2022 → 10/2023

Morgan Stanley

New York, NY
10/2023 → Present

Rockefeller Capital Management

Ny, NY
10/2023 → Present

Rockefeller Financial Llc

Ny, NY

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2023-08-14
S66	Uniform Combined State Law Examination	2018-08-31

Other Firms