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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-05-03 |
| TX | RA | APPROVED | 2024-05-03 |
Branch Locations
5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209 • United States
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Goldman Sachs & Co. | Atlanta | GA | 06/2015 | 06/2019 |
| Morgan Stanley Smith Barney Llc | Charlotte | NC | 08/2019 | 09/2023 |
| Morgan Stanley Smith Barney Llc | Charlotte | NC | 09/2023 | 05/2024 |
| Rockefeller Financial Llc | Charlotte | NC | 05/2024 | Present |
ATN Properties LLC, investment related, 239 Hempstead Place, Charlotte, NC 28207, real estate construction lending, member as of 3/10/2017. 1 hour per month and 0 hour per trading day.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-09-25 |
| S66 | Uniform Combined State Law Examination | 2015-08-09 |
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