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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-05-03 |
| TX | RA | APPROVED | 2024-05-03 |
Branch Locations
5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209 • United States
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Charlotte | NC | 11/2015 | 05/2024 |
| Rockefeller Financial Llc | Charlotte | NC | 05/2024 | Present |
Sole Proprietor / Owner / Partner; Real Estate Properties; Waxhaw, NC, Charlotte, NC; As of 11/2015; During business hours - less that 15 minutes; After business hours 1 -2 hours per month. Personal Real Estate rental
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-03-03 |
| S63 | Uniform Securities Agent State Law Examination | 1998-06-01 |
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