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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-02-17 |
| TX | RA | APPROVED | 2023-02-17 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Monica | CA | 01/2009 | 02/2023 |
| Bank Of America, N.A. | Santa Monica | CA | 09/2009 | 02/2023 |
| Rockefeller Financial Llc | Los Angeles | CA | 02/2023 | 10/2025 |
| Rockefeller Financial Llc | Torrance | CA | 10/2025 | Present |
Surf 4 Kidz - Founder. Surf 4 Kidz is a charity surf camp founded in 2008. 100% of the proceeds go to a local 501(c)3 organization that teaches and certifies at-risk military veterans how to weld and has a job placement program upon completion. Surf 4 Kidz is not investment-related. The approximate number of hours devoted to Surf 4 Kidz is about 40 hours per year and no hours are spent during securities trading hours. 5455 Linda Drive, Torrance, CA 90505 J46 Properties LLC - Member. Real estate investment. December 2022. Two hours per month devoted to J46 Properties LLC with no hours devoted during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-12-14 |
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