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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-04-24 |
Branch Locations
1600 West Loop South, Suite 700, Houston, TX 77027 • United States
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, Na | Houston | TX | 09/2009 | 11/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 05/2018 | 04/2026 |
| Unemployed | Katy | TX | 12/2017 | 05/2018 |
| Bank Of America, N.A. | Houston | TX | 03/2022 | 04/2026 |
| Rockefeller Financial Llc | Houston | TX | 04/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 1993-07-30 |
| S65 | Uniform Investment Adviser Law Examination | 1993-07-30 |
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