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Account
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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-08-12 |
| TX | RA | APPROVED | 2025-08-12 |
Branch Locations
800 Newport Center Drive Suite 650, Newport Beach, CA 92660 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-09-08 |
| TX | RA | APPROVED | 2021-09-08 |
Branch Locations
800 Newport Center Drive Suite 650, Newport Beach, CA 92660 • United States
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Blackrock Investments, Inc. | New York | NY | 05/2008 | 08/2021 |
| Rockefeller Financial Llc | Newport Beach | CA | 09/2021 | Present |
| Rockefeller Capital Management | Newport Beach | CA | 08/2025 | Present |
Patient Capital LLC; Investment related; Corona del Mar, CA; Personal loan; Managing Member; 02/10/2025; 1 hour per month; 0 hours during trading hours; Managing wires in and out from the business on the personal loan.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-07-13 |
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