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Tracy Lynn Broderick

Rockefeller Financial LLC

Florham Park, NJ

Paramus, NJ

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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 2021-07-28
NJ RA APPROVED 2020-08-17
  • TX RA
    APPROVED
    Since 2021-07-28
  • NJ RA
    APPROVED
    Since 2020-08-17

Branch Locations

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

115 West Century Road, Paramus, NJ 07652 • 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 Paramus NJ 12/2005 06/2020
Bank Of America, N.A. Paramus NJ 04/2015 06/2020
Rockefeller Financial Llc New York NY 06/2020 Present
Rock & Co Llc New York NY 06/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-04-06
  • S66 Uniform Combined State Law Examination
    2006-04-06
Other Names
  • Tracy Lynn Broderick-Miao

View on SEC IAPD

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