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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2020-09-11 |
| TX | RA | APPROVED_RES | 2020-09-11 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
Silverthorne, CO • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Boulder | CO | 06/2009 | 09/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 09/2020 |
| Rockefeller Financial Llc | Dallas | TX | 09/2020 | 03/2023 |
| Rockefeller Financial Llc | Erie | CO | 03/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 2005-11-29 |
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