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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-07-24 |
| TX | RA | APPROVED_RES | 2026-07-21 |
| NY | RA | APPROVED | 2026-07-20 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
4851 Tamiami Trail North Suite 200, Naples, FL 34103 • 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 | New York | NY | 07/2014 | 05/2025 |
| Bank Of America, N.A. | New York | NY | 09/2014 | 05/2025 |
| Morgan Stanley Smith Barney Llc | Naples | FL | 05/2025 | 07/2026 |
| Morgan Stanley Smith Barney Llc | Waccabuc | NY | 05/2025 | 07/2026 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 06/2025 | 07/2026 |
| Rockefeller Financial Llc | New York | FL | 07/2026 | Present |
| Rockefeller Financial Llc | Naples | FL | 07/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-11-30 |
| S65 | Uniform Investment Adviser Law Examination | 1992-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-10 |
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