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David George Lloyd

Rockefeller Financial LLC

San Antonio, TX

Dallas, TX

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Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-04-01
  • TX RA
    APPROVED
    Since 2021-04-01

Branch Locations

1900 Broadway Street Suite 660, San Antonio, TX 78215 • United States

300 Crescent Court Suite 1450, Dallas, TX 75201 • 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. San Antonio TX 09/2004 04/2021
Rockefeller Financial Llc San Antonio TX 04/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-12-14
S63 Uniform Securities Agent State Law Examination 1994-12-02
  • S65 Uniform Investment Adviser Law Examination
    1994-12-14
  • S63 Uniform Securities Agent State Law Examination
    1994-12-02
Other Names
  • David G (Jr) Lloyd

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN ANTONIO, TX
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN ANTONIO, TX
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PARK AVENUE SECURITIES LLC · SAN ANTONIO, TX
RBC CAPITAL MARKETS, LLC · SAN ANTONIO, TX
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TITLEIST ASSET MANAGEMENT, LLC · San Antonio, TX
ULRICH INVESTMENT CONSULTANTS · San Antonio, TX

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