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Diana Regina Kleper-Gilkes

Rockefeller Capital Management

Dallas, TX

Rockefeller Financial LLC

Dallas, TX

Frisco, TX

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Current Employers
Rockefeller Capital Management

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-08-09
  • TX RA
    APPROVED
    Since 2024-08-09

Branch Locations

300 Crescent Court, Suite 1450, Dallas, TX 75201 • United States

Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-09-11
  • TX RA
    APPROVED
    Since 2019-09-11

Branch Locations

300 Crescent Court Suite 1450, Dallas, TX 75201 • United States

Frisco, TX • 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
Ubs Financial Services Inc Plano TX 02/2009 08/2017
Morgan Stanley Dallas TX 08/2017 08/2019
Rockefeller Financial Llc Dallas TX 09/2019 Present
Rockefeller Capital Management Dallas TX 08/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-27
S63 Uniform Securities Agent State Law Examination 2005-12-01
  • S66 Uniform Combined State Law Examination
    2007-04-27
  • S63 Uniform Securities Agent State Law Examination
    2005-12-01
Other Names
  • Diana Regina Kleper
  • Diana R Kleper-Gilkes
  • Diana Regina Kleper-Gilkes
  • Diana Kleper-Gilkes

View on SEC IAPD

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