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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-10-22 |
| CT | RA | APPROVED | 2025-10-07 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
225 Asylum St. Suite 2830, Hartford, CT 06103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Student | Willimantic | CT | 08/2020 | 05/2023 |
| Andy Frain Services | Hartford | CT | 06/2021 | 07/2021 |
| Hartford Steam Boiler | Hartford | CT | 05/2022 | 05/2023 |
| Oakwood Soccer Club | Glastonbury | CT | 11/2023 | 03/2024 |
| Johnson Brunetti | Wethersfield | CT | 05/2023 | 08/2025 |
| Jb Capital Llc | Wethersfield | CT | 08/2024 | 08/2025 |
| Student | West Simsbury | CT | 08/2014 | 06/2020 |
| Rockefeller Financial Llc | Hartford | CT | 10/2025 | Present |
Connecticut State Referee Program; Non-investment related; Connecticut; Soccer Referee; 04/25/2026; 12 hours a month and 0 hours during trading hours; Refereeing local soccer games.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-10-19 |
| S65 | Uniform Investment Adviser Law Examination | 2023-08-05 |
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