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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2026-02-02 |
| CT | RA | APPROVED | 2024-05-17 |
| TX | RA | APPROVED | 2024-05-17 |
Branch Locations
123 Great Pond Rd, Simsbury, CT 06070 • United States
320 Seven Springs Way Suite 115, Brentwood, TN 37027 • United States
Franklin, TN • United States
Simsbury, CT • United States
225 Asylum St. Suite 2830, Hartford, CT 06103 • United States
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Hartford | CT | 12/1995 | 05/2024 |
| Bank Of America, Na | Hartford | CT | 11/2009 | 05/2024 |
| Rockefeller Financial Llc | Hartford | CT | 05/2024 | Present |
| Rockefeller Financial Llc | Franklin | TN | 02/2026 | Present |
Sivako Holdings LLC; Non-Investment Related; Simsbury, CT; Office Space; Owner; 12/01/2024; 1 hour per month; 0 hours during trading hours; LLC to facilitate rental of office space.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-25 |
| S63 | Uniform Securities Agent State Law Examination | 1996-02-23 |
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