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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-11-08 |
| GA | RA | APPROVED | 2025-11-07 |
Branch Locations
3060 Peachtree Road Nw Suite 110, Atlanta, GA 30305 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-09-22 |
| GA | RA | APPROVED | 2020-05-14 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Morgan Stanley | Alpharetta | GA | 06/2009 | 02/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 02/2020 |
| Rockefeller Financial Llc | Atlanta | GA | 02/2020 | Present |
| Rock & Co Llc | Atlanta | GA | 02/2020 | Present |
Hermanson Family Limited Partnership; Investment related; Sole Proprietor / Owner / Partner; Holding of Stock, Bonds,; 27/2012; During Business hours: 0, After Business hours: 2 *375631 - Three Lakes Corp, LLC HOA; Investment related No; Volunteer homeowner association; Upper Lake Representative (proprietor, partner, officer, director, employee, trustee, agent); Nov 2018; After business hours: 1 Mr. Hermanson is a licensed insurance agent with RCM Insurance Svces LLC, an affiliate of the firm.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-03-16 |
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