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Andy Lam

Rockefeller Financial LLC

Los Angeles, CA

Palo Alto, CA

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-04-27
CA RA APPROVED 2019-05-20
  • TX RA
    APPROVED
    Since 2021-04-27
  • CA RA
    APPROVED
    Since 2019-05-20

Branch Locations

1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States

845 Page Mill Road, Floor 2, Palo Alto, CA 94304 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ariix Corporation San Francisco CA 06/2011 05/2019
Ubs Financial Services San Francisco CA 07/2014 05/2019
Rockefeller Financial Llc San Francisco CA 05/2019 Present
Rock & Co Llc San Francisco CA 05/2019 Present
  • 06/2011 → 05/2019
    Ariix Corporation
    San Francisco, CA
  • 07/2014 → 05/2019
    Ubs Financial Services
    San Francisco, CA
  • 05/2019 → Present
    Rockefeller Financial Llc
    San Francisco, CA
  • 05/2019 → Present
    Rock & Co Llc
    San Francisco, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-01-26
  • S66 Uniform Combined State Law Examination
    2016-01-26
Designations

View on SEC IAPD

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Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
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TLG ADVISORS, INC. · Los Angeles, CA
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NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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