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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-07-17 |
| TX | RA | APPROVED | 2025-07-17 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-07-17 |
| TX | RA | APPROVED | 2025-07-17 |
Branch Locations
45 Rockefeller Plaza, Floor 5, New York, NY 10111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 11/2013 | 07/2025 |
| Rockefeller Financial Llc | New York | NY | 07/2025 | Present |
| Rockefeller Capital Management | New York | NY | 07/2025 | Present |
43 Gregory Boulevard LLC; Investment related; Norwalk, CT; Quarter Owner; 10/30/2025; 0 hours a month and 0 hours during trading hours; LLC holds a rental property Rock Prom LLC; Investment related; Greenwich, CT; 1 of 4 Members of the LLC; 05/08/2026; 0 hours a month and 0 hours during trading hours; LLC to be used for investments.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-10-15 |
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