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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-02-21 |
| TX | RA | APPROVED | 2024-02-21 |
Branch Locations
3721 Valley Centre Drive, San Diego, CA 92130 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-02-25 |
| TX | RA | APPROVED | 2022-02-25 |
Branch Locations
3721 Valley Centre Drive, San Diego, CA 92130 • United States
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | La Jolla | CA | 08/2009 | 02/2022 |
| Bank Of America, N.A. | La Jolla | CA | 09/2009 | 02/2022 |
| Rockefeller Financial Llc | La Jolla | CA | 02/2022 | 06/2023 |
| Rockefeller Financial Llc | San Diego | CA | 06/2023 | 01/2025 |
| Rockefeller Capital Management | San Diego | CA | 02/2024 | 01/2025 |
| Rockefeller Capital Management | La Jolla | CA | 02/2025 | 07/2025 |
| Rockefeller Financial Llc | La Jolla | CA | 02/2025 | 07/2025 |
| Rockefeller Financial Llc | San Diego | CA | 07/2025 | Present |
| Rockefeller Capital Management | San Diego | CA | 07/2025 | Present |
I*40636 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SAN DIEGO POLICE FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN DIEGO, CALIFORNIA 92122 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 5/2/2011 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MEMBER OF THE BOARD OF DIRECTORS; CHAIR OF THE GRANTS COMMITTEE I*359056 For profit or not for profit: Entity Charitable Name of outside business organization: St. Paul's Lutheran Church Investment related: N Address of business: San Diego, California, 92109 Nature of business: ["Church or Religious Organization"] Position, title, association: ["Officer"], Start date of relationship: 7/1/2021 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Church congregation President. Preside over the church's board of directors, oversee board related activities to support the St. Paul's Lutheran Church's mission.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-11-06 |
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