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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-02-21 |
| TX | RA | APPROVED | 2025-02-21 |
Branch Locations
Two Embarcadero Center Suite 2320, San Francisco, CA 94111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch Pierce, Fenner &Amp; Smith, Inc. | Los Angeles | CA | 10/2010 | 02/2025 |
| Rockefeller Financial Llc | San Francisco | CA | 02/2025 | Present |
| Rockefeller Capital Management | San Francisco | CA | 02/2025 | Present |
I*129395 For profit or not for profit: For-Profit Organization Name of outside business organization: Becky Bing Photography Investment related: N Address of business: Oakland, California 94603 Nature of business: Sole Proprietorship, Position, title, association: Owner, Start date of relationship: 10/21/2019 Number of hours devoted: 150 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Owner of photography business. Taking photos. I*518142 For profit or not for profit: Entity For Profit Name of outside business organization: Caroline Tran Photography Investment related: N Address of business: La Canada, California, 91012 Nature of business: ["Limited Liability Company"] Position, title, association: ["Other"], Start date of relationship: 8/24/2021 Number of hours devoted: 15 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: Photographer, Lead or Secondary Photographer for events scheduled through Caroline Tran Photography I"1040287", Name of OBA: SF Advocacy for National Museum for Women in the Arts, Address: Winters, Texas, Investment Related: N, Position, Title: ["Other"], Employee Start Date: 10/20/2022, No Hours: 10, Monthly No Hours: during trading: 0 Duties: The entity is a local arts advocacy organization in support of women artists. They promote the artists through local art events. As the Event coordinator, I will help create and follow-up on invitations and RSVPs for events for local support group of the NMWA.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-11-21 |
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