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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2025-10-30 |
| TX | RA | APPROVED | 2025-10-30 |
Branch Locations
4 Caufield Place Suite 101, Newtown, PA 18940 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2024-10-18 |
| TX | RA | APPROVED | 2024-10-18 |
Branch Locations
4 Caufield Place Suite 101, Newtown, PA 18940 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner And Smith Incorporated | Princeton | NJ | 09/2011 | 10/2024 |
| Bank Of America, N.A. | Princeton | NJ | 01/2012 | 10/2024 |
| Rockefeller Financial Llc | Newtown | PA | 10/2024 | Present |
| Rockefeller Capital Management | Newtown | PA | 10/2025 | Present |
I*62599 For profit or not for profit: For-Profit Organization Name of outside business organization: Ownership of condo Investment related: Y Address of business: Hoboken NJ 07030 Nature of business: Other,personally own Position, title, association: Family Held, Start date of relationship: February 1994 Number of hours devoted: 1 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: own condo in hoboken rent it out I*78910 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BATTEN DISEASE SUPPORT & RESEARCH ASSOCIATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: COLUMBUS, OHIO 43215 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 2/15/2012 NUMBER OF HOURS DEVOTED: 32 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PROVIDE SUPPORT AND RESEARCH FOR FAMILIES THAT HAVE BATTENS DISEASE. I*50324 For profit or not for profit: Non-Profit Financial Institutions Name of outside business organization: Drew's Hope Research Foundation Investment related: N Address of business: Newtown, Pennsylvania 18940 Nature of business: Scientific research for Battens disease, Position, title, association: Advisory Board Member, Start date of relationship: 3/5/2012 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: To help raise funds for disease
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-20 |
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