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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-06-11 |
| WA | RA | APPROVED | 2021-06-11 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
711 S Capitol Way, Suite 705, Olympia, WA 98501 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Olympia | WA | 10/2009 | 06/2021 |
| Bank Of America,N.A. | Olympia | WA | 06/2011 | 06/2021 |
| Rockefeller Financial Llc | Olympia | WA | 06/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-11-10 |
| S63 | Uniform Securities Agent State Law Examination | 1992-11-12 |
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