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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-02-21 |
| TX | RA | APPROVED | 2024-02-21 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-04-19 |
| TX | RA | APPROVED | 2023-04-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 06/2003 | 01/2017 |
| Bank Of America, N.A. | New York | NY | 07/2014 | 01/2017 |
| First Republic Securities Company, Llc | New York | NY | 01/2017 | 04/2023 |
| First Republic Investment Management, Inc. | New York | NY | 01/2017 | 04/2023 |
| Rockefeller Financial Llc | New York | NY | 04/2023 | Present |
| Rockefeller Captial Management | New York | NY | 02/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-12-13 |
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