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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2021-04-16 |
| TX | RA | APPROVED | 2021-04-16 |
Branch Locations
260 E Brown Street Suite 300, Birmingham, MI 48009 • United States
222 West Adams Suite 2450, Chicago, IL 60606 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bloomfield Hills | MI | 05/2009 | 04/2021 |
| Bank Of America, Na | Bloomfield Hills | MI | 12/2009 | 04/2021 |
| Rockefeller Financial Llc | Bloomfield | MI | 04/2021 | 12/2023 |
| Rockefeller Financial Llc | Birmingham | MI | 01/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-09-02 |
| S65 | Uniform Investment Adviser Law Examination | 1996-01-10 |
| S63 | Uniform Securities Agent State Law Examination | 1995-03-13 |
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