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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2021-06-15 |
| TX | RA | APPROVED_RES | 2021-06-12 |
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
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Olympia | WA | 07/1992 | 06/2021 |
| Bank Of America, Na | Olympia | WA | 09/2009 | 06/2021 |
| Rockefeller Financial Llc | Olympia | WA | 06/2021 | Present |
1) Olympia High School Baseball Coaching Staff; Non-investment related; 1302 North St SE Olympia, WA; Baseball Coach; 25 hours per month spent outside of business hours on this activity; compensated. 2) MultiCare; Non-investment related; 3900 Capital Mall Dr. SW, Olympia, WA; Board Member; 09/01/2024; 3 hours a month and 0 hours during trading hours; I am on the MultiCare Capital Foundation Board and will be an at large member to the hospital board representing the foundation.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-04 |
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