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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-07-14 |
| TX | RA | APPROVED_RES | 2025-06-27 |
Branch Locations
515 E Las Olas Blvd Suite 1650, Fort Lauderdale, FL 33301 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-07-07 |
| TX | RA | APPROVED_RES | 2025-06-27 |
Branch Locations
515 E Las Olas Blvd Suite 1650, Fort Lauderdale, FL 33301 • United States
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Aventura | FL | 02/2013 | 06/2025 |
| Rockefeller Financial Llc | Fort Lauderdale | FL | 06/2025 | Present |
| Rockefeller Capital Management | Fort Lauderdale | FL | 06/2025 | Present |
1) MIAMI COUNTRY DAY SCHOOL / 601 NE 107TH STREET MIAMI,FL 33161 / OTHER/ EDUCATION / PRIVATE EDUCATION / TRUSTEE / / INVOLVED IN DEVELOPMET AND PLANNED GIVING FOR SCHOOL /Chair of Investment Committee - facilitate quarterly meetings where we will be listening to presentation from Investment manager of school endowment/ 2-3 Hours per month / .5 hours per trading day / START DATE 05/31/2021
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-22 |
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