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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-01-09 |
| NY | RA | APPROVED | 2021-03-22 |
| TX | RA | APPROVED | 2021-02-01 |
Branch Locations
Shrewsbury, NJ • United States
45 Rockefeller Plaza, New York, NY 10111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-01-09 |
| NY | RA | APPROVED | 2024-04-22 |
| TX | RA | APPROVED | 2024-04-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Barclays Capital Inc. | New York | NY | 08/2012 | 05/2020 |
| Stifel, Nicolaus & Company, Incorporated | St. Louis | MO | 12/2015 | 05/2020 |
| Rockefeller Financial Llc | New York | NY | 05/2020 | 12/2024 |
| Rock & Co Llc | New York | NY | 05/2020 | 12/2024 |
| Rockefeller Financial Llc | Shrewsbury | NJ | 01/2025 | Present |
| Rockefeller Capital Management | Shrewsbury | NJ | 01/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-08-16 |
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