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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-10-22 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • USA
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Private Bank, N.A. | Purchase | NY | 02/2014 | 10/2025 |
| Morgan Stanley Smith Barney Llc | Purchase | NY | 02/2014 | 10/2025 |
| Rockefeller Capital Management | Ny | NY | 10/2025 | Present |
| Rockefeller Financial Llc | Ny | NY | 10/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2021-02-05 |
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