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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-11-04 |
| NC | RA | APPROVED | 2024-05-03 |
| TX | RA | APPROVED | 2024-05-03 |
Branch Locations
3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410 • United States
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Charlotte | NC | 06/2009 | 05/2024 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 05/2024 |
| Rockefelle Financial Llc | Charlotte | NC | 05/2024 | 10/2025 |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | 05/2024 |
| Rockefeller Financial Llc | Palm Beach Gardens | FL | 11/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-02-03 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-31 |
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