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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 | 2025-09-26 |
| CA | RA | APPROVED | 2022-08-16 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-09-26 |
| CA | RA | APPROVED | 2025-08-12 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Los Angeles | CA | 10/2011 | 11/2016 |
| Jpmorgan Chase Bank Na | Los Angeles | CA | 10/2011 | 11/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | El Segundo | CA | 11/2016 | Present |
| Bank Of America, N.A. | El Segundo | CA | 12/2016 | Present |
| Rockefeller Financial Llc | Los Angeles | CA | 08/2022 | Present |
| Rockefeller Capital Management | Los Angeles | CA | 08/2025 | Present |
I*101344 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: VOLLEYSKILLS INVESTMENT RELATED: N ADDRESS OF BUSINESS: HERMOSA BEACH, CALIFORNIA 90254 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: OTHER, BOARD MEMBER START DATE OF RELATIONSHIP: 5/2/2016 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FIND GYM SPACE FOR CLINICS AND HELP WITH TECHNOLOGY 2) USA Lending and Loans, 1611 S Pacific Coast, Hwy # 102, Redondo Beach, CA 90277; Investment Related; Lending residential commercial and private money mortgages; President and Board Member since 09/01/2021; Devotes 8 hours per month. 4 hours during not trading hours and 4 hours a month during trading hours. 3) 3 kidz 2 dogz Inc; Investment related; Manhattan Beach, CA; Real estate consulting and investments; President; 2/28/2025. 4 hours a month and 0 hours during trading hours. Entity is being used for investment purposes.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 1991-04-24 |
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