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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-09-04 |
Branch Locations
1600 West Loop South, Suite 700, Houston, TX 77027 • United States
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Houston | TX | 11/2008 | 09/2020 |
| Rockefeller Financial Llc | Dallas | TX | 09/2020 | Present |
1) Bridge Warriors LLC; Investment related. Cypress, TX; LLC created to buy property; General Partner; 02/19/2025. 0 hours a month and 0 hours during trading hours. It is an LLC created to purchase a piece of raw land for my families enjoyment. 2) Risky Rockport Big Tree LLC; Non-Investment Related; Rockport, TX; Real Estate; Managing Member; 3/2/2018; 1 hour per month; 0 hours during trading hours; LLC to facilitate holding personal real estate.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-06-22 |
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