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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2020-01-21 |
| TX | RA | APPROVED_RES | 2020-01-21 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
5355 Town Center Rd Floor 6, Boca Raton, FL 33486 • 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 | Coral Springs | FL | 06/2009 | 01/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 01/2020 |
| Rockefeller Financial Llc | Boca Raton | FL | 01/2020 | Present |
| Rock & Co Llc | Boca Raton | FL | 01/2020 | Present |
I am an investor/shareholder in Tupero Homey Care, a restaurant located in North Carolina. I devote 0 hours to this OBA. I have been involved in this OBA since August 2012.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-02-25 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-18 |
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