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Richard Watkin Dodd

Rockefeller Financial LLC

Florham Park, NJ

Conshohocken, PA

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Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2020-02-21
  • PA RA
    APPROVED
    Since 2020-02-21

Branch Locations

180 Park Ave Suite 203, Florham Park, NJ 07932 • United States

One Tower Bridge, 100 Front Street Suite 1325, Conshohocken, PA 19428 • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Conshohocken PA 07/2019 02/2020
Fs Investments Philadelphia PA 06/2016 07/2019
Bank Of America, N.A. Conshohocken PA 09/2019 02/2020
Rockefeller Financial Llc Conshohocken PA 02/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-02
  • S66 Uniform Combined State Law Examination
    2019-12-02
Designations
Other Names
  • Richard Dodd

View on SEC IAPD

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