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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WY | RA | APPROVED | 2025-11-12 |
| GA | RA | APPROVED | 2021-02-04 |
| TX | RA | APPROVED_RES | 2019-01-18 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WY | RA | APPROVED | 2025-11-12 |
| GA | RA | APPROVED | 2024-02-22 |
| TX | RA | APPROVED | 2024-02-21 |
Branch Locations
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 | Atlanta | GA | 07/1993 | 01/2019 |
| Bank Of America, N.A. | Atlanta | GA | 07/2010 | 01/2019 |
| Rockefeller Capital Management | Atlanta | GA | 01/2019 | 11/2025 |
| Rockefeller Financial Llc | Atlanta | GA | 01/2019 | 11/2025 |
| Rockefeller Capital Management | Jackson | WY | 11/2025 | Present |
| Rockefeller Financial Llc | Jackson | WY | 11/2025 | Present |
Name of Company: Thunder Lacrosse LLC Address: 4012 Kingston Court Marietta, GA Nature of Business: Youth Lacrosse Start Date: 01/2016 Investment or Securities Related Activity: NO Job title/Position: Board Member Approx hours/month devoted to other business: 5 per month Description of Responsibility/Duties: Advisory (1) I*18825 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HIGGINS FAMIULY IRREVOCABLE LIFE INSURANCE TRUST INVESTMENT RELATED: Y ADDRESS OF BUSINESS: 3483 RIDGEWOOD ROAD, ATLANTA, GEORGIA 30327 NATURE OF BUSINESS: OTHER,TRUST POSITION, TITLE, ASSOCIATION: FIDUCIARY, START DATE OF RELATIONSHIP: 0001-01-01 NUMBER OF HOURS DEVOTED: 3 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FIDUCIARY POSITIONS (2) I*19049 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HIGGINS PARTNERS LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: 3483 RIDGEWOOD ROAD NW, ATLANTA, GEORGIA 30327 NATURE OF BUSINESS: OTHER, LLC POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 0001-01-01 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: GENERAL PARTNER Mr. Higgins is also a licensed insurance agent with RCM Insurance Svces LLC, an affiliate of the firm.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-19 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-21 |
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