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Claude Lee Ives

Rockefeller Financial LLC

Charlotte, NC

Atlanta, GA

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-02-08
TX RA APPROVED 2024-02-08
  • NC RA
    APPROVED
    Since 2024-02-08
  • TX RA
    APPROVED
    Since 2024-02-08

Branch Locations

5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209 • United States

3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Global Markets Inc. Charlotte NC 03/1994 02/2024
Morgan Stanley Smith Barney Charlotte NC 06/2009 02/2024
Morgan Stanley Private Bank, National Association New York NY 01/2015 02/2024
Rockefeller Financial Llc Charlotte NC 02/2024 Present
Morgan Stanley Private Bank, N.A New York NY 07/2020 Present
  • 03/1994 → 02/2024
    Citigroup Global Markets Inc.
    Charlotte, NC
  • 06/2009 → 02/2024
    Morgan Stanley Smith Barney
    Charlotte, NC
  • 01/2015 → 02/2024
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 02/2024 → Present
    Rockefeller Financial Llc
    Charlotte, NC
  • 07/2020 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-06-13
S63 Uniform Securities Agent State Law Examination 1994-06-08
  • S65 Uniform Investment Adviser Law Examination
    1994-06-13
  • S63 Uniform Securities Agent State Law Examination
    1994-06-08
Designations
Other Names
  • Claude Lee Iii Ives

View on SEC IAPD

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