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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-09-08 |
| TX | RA | APPROVED | 2020-09-04 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
1850 Mt Diablo Boulevard - Suite 300, Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Oakland | CA | 10/2015 | 07/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Oakland | CA | 08/2018 | 09/2020 |
| Bank Of America, N.A. | Oakland | CA | 09/2018 | 09/2020 |
| Rockefeller Financial Llc | San Francisco | CA | 09/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-11-10 |
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