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Maxwell Joseph Mims

Rockefeller Financial LLC

Houston, TX

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Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-11-24
  • TX RA
    APPROVED
    Since 2025-11-24

Branch Locations

1600 West Loop South, Suite 700, Houston, TX 77027 • 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
Rockefelelr Financial Llc Houston TX 09/2025 Present
Southwestern University Georgetown TX 08/2022 05/2024
Ames Linen Service Cortland NY 06/2022 07/2022
Friendswood Summer Day Camp Friendswood TX 06/2021 08/2021
Southwestern University Georgetown TX 08/2020 05/2024
Friendswood High School Friendswood TX 08/2016 05/2020
University Of Texas At Arlington Arlington TX 08/2024 08/2025
  • 09/2025 → Present
    Rockefelelr Financial Llc
    Houston, TX
  • 08/2022 → 05/2024
    Southwestern University
    Georgetown, TX
  • 06/2022 → 07/2022
    Ames Linen Service
    Cortland, NY
  • 06/2021 → 08/2021
    Friendswood Summer Day Camp
    Friendswood, TX
  • 08/2020 → 05/2024
    Southwestern University
    Georgetown, TX
  • 08/2016 → 05/2020
    Friendswood High School
    Friendswood, TX
  • 08/2024 → 08/2025
    University Of Texas At Arlington
    Arlington, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-09-23
  • S66 Uniform Combined State Law Examination
    2025-09-23
Other Names
  • Max Joseph Mims
  • Maxwell Mims

View on SEC IAPD

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GREGORY JAMES KALLUS
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Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
TRI-STAR ADVISORS, INC. · HOUSTON, TX
HORNOR, TOWNSEND & KENT, LLC · Houston, TX
AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

More in Houston, TX

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