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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-07-05 |
| TX | RA | APPROVED | 2023-07-03 |
| WY | RA | APPROVED | 2023-07-03 |
Branch Locations
30 S. King Street, Suite 2C, Jackson, WY 83001 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-06-16 |
| TX | RA | APPROVED | 2023-06-16 |
| WY | RA | APPROVED | 2023-06-16 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
30 S. King Street, Suite 2C, Jackson, WY 83001 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| First Republic Securities Company, Llc | San Francisco | CA | 11/2010 | 06/2023 |
| First Republic Investment Management | San Francisco | CA | 11/2010 | 06/2023 |
| Rockefeller Financial Llc | San Francisco | CA | 06/2023 | Present |
| Rockefeller Capital Management | Jackson | WY | 07/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-06-11 |
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