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Steven M Szeligowski

Rockefeller Financial LLC

Hartford, CT

Dallas, TX

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-05-17
TX RA APPROVED 2024-05-17
  • CT RA
    APPROVED
    Since 2024-05-17
  • TX RA
    APPROVED
    Since 2024-05-17

Branch Locations

225 Asylum St. Suite 2830, Hartford, CT 06103 • United States

300 Crescent Court Suite 1450, Dallas, TX 75201 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Hartford CT 03/2011 05/2024
Bank Of America, N.A. Hartford CT 12/2012 05/2024
Rockefeller Financial Llc Hartford CT 05/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-10-15
  • S66 Uniform Combined State Law Examination
    2011-10-15

View on SEC IAPD

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