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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-09-13 |
Branch Locations
1600 West Loop South, Suite 700, Houston, TX 77027 • United States
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Houston | TX | 11/2008 | 09/2020 |
| Rockefeller Financial Llc | Dallas | TX | 09/2020 | Present |
USR Enterprises LLC; Investment Related; Houston, TX; Rental Properties; Board Member; 7/17/2020; 6 hours per month; 0 hours during trading hours; LLC to facilitate Rental Property investments. USR Enterprises 4, LLC; Non Investment Related; Houston, Texas; Personal Property; Managing Member; 1/15/2026; 0 hours per month; 0 hours per trading day; LLC to facilitate a boat purchase. Buffalo Bayou Partnership; Non-investment related; 1019 Commerce Street, Suite 200, Houston, TX 77002; Licensed US Coast Guard Captain; 06/15/2026; 6 hours per month and 0 hours during trading hours; Drive/pilot the tour boat
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-07 |
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