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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-05-11 |
| TX | RA | APPROVED | 2022-05-11 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
750 University Ave , Suite 240, Los Gatos, CA 95032 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Bank Usa, N.A. | Fremont | CA | 08/2016 | 06/2018 |
| Wells Fargo Clearing Services, Llc | San Leandro | CA | 06/2018 | 12/2021 |
| Morgan Stanley Smith Barney Llc | Los Gatos | CA | 01/2022 | 04/2022 |
| First Republic Securities Company, Llc | Palo Alto | CA | 04/2022 | 05/2022 |
| First Republic Investment Management, Inc. | Palo Alto | CA | 04/2022 | 05/2022 |
| Rockefeller Financial Llc | San Jose | CA | 05/2022 | 01/2023 |
| Rockefeller Financial Llc | Los Gatos | CA | 01/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-03-11 |
| S63 | Uniform Securities Agent State Law Examination | 2014-07-31 |
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