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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-11-04 |
Branch Locations
9950 Woodloch Forest Tower, 4Th Floor, The Woodlands, TX 77380 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 10/2013 | 10/2022 |
| Bank Of America, N.A. | Houston | TX | 05/2014 | 10/2022 |
| Rockefeller Financial Llc | Houston | TX | 10/2022 | Present |
1) Elite Equine Exports, LLC; Non-investment related. Woodland, TX; Buy, train, and sell sport horses; Owner/President; 08/7/2024. 30 hours a month and 0 hours during trading hours. Overseas purchasing, hire professional trainer/training program, provide logistics/transport, and oversee selling of these horses. 2) AK Real Estate Ventures LLC; Non-Investment Related; The Woodlands, TX; Real Estate; Managing Partner; 8/23/2023; 1 hour per month; 0 hours during trading hours; LLC to facilitate a real estate purchase and sale.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-01-17 |
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