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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2026-08-21 |
Branch Locations
222 West Adams Suite 2450, Chicago, IL 60606 • United States
Plymouth, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Minneapolis | MN | 07/2014 | 08/2026 |
| Rockefeller Financial Llc | Plymouth | MN | 08/2026 | Present |
1. BGWAIN Photography, I am a freelance photographer for which I occasionally get compensated for my images/photography work, Services (Business, Professional, Support), I periodically photograph mostly sporting events and landscapes and my images have been used on clients websites, social media, and/or marketing materials, Proprietor / owner, Photograph events/assigments, start date-2/29/2024, Minnesota/Wisconsin, USA.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-17 |
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