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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2023-11-03 |
| TX | RA | APPROVED_RES | 2023-11-03 |
Branch Locations
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
Stevensville , MD • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Wahington, D.C. | DC | 08/2008 | 11/2023 |
| Bank Of America, N.A. | Washington | DC | 03/2013 | 11/2023 |
| Rockefeller Financial Llc | Bethesda | MD | 11/2023 | 07/2026 |
| Rockefeller Financial Llc | Stevensville | MD | 08/2026 | Present |
I*96787 For profit or not for profit: For-Profit Organization Name of outside business organization: Livestock Sales Investment related: N Address of business: Wimberley, Texas 78676 Nature of business: Sole Proprietorship, Position, title, association: Owner, Start date of relationship: 10/1/2016 Number of hours devoted: 5 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: i am a hobby farmer, and raise goats, cows, and pigs
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-05-10 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-13 |
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