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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-06-05 |
Branch Locations
1600 West Loop South, Suite 700, Houston, TX 77027 • United States
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Houston | TX | 06/2014 | 06/2020 |
| Rockefeller Financial Llc | Dallas | TX | 06/2020 | Present |
WS Legacy Ventures LLC, 1146 Wycliffe Dr., Houston TX 77043, Investment Releated; Entity will purchase rental properties; Partner and Manager; 9/12/2022; Zero hours during trading hours and five hours per month during non-trading hours; provide monetary partnership interest and assist in operation of purchase and rental activities.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-08-08 |
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