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Account
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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2025-01-21 |
| TX | RA | APPROVED | 2024-12-18 |
Branch Locations
2603 East Parleys Way, Salt Lake City, UT 84109 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-10-01 |
| UT | RA | APPROVED | 2019-06-03 |
Branch Locations
2603 East Parleys Way, Salt Lake City, UT 84109 • United States
45 Rockefeller Plaza, New York, NY 10111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hightower Securities, Llc | Salt Lake City | UT | 11/2008 | 09/2018 |
| Hightower Advisors, Llc | Salt Lake City | UT | 11/2008 | 09/2018 |
| Axiom Capital Management, Inc. | New York | NY | 09/2018 | 06/2019 |
| Rockefeller Financial Llc | Salt Lake City | UT | 10/2019 | Present |
| Rock & Co Llc | New York | NY | 10/2018 | 10/2019 |
Nick Bapis has been acting as Trustee and/or Co-Trustee for several years (before he became registered with Rockefeller) for a few current client accounts, which the Firm does have on file. Two of the individuals that Nick serves Trustee for are his nephew and his niece. Although not technically considered "immediate family members" as per FINRA 5130, we find it important to note that there is a familial relation involved. Lastly Nick is Co-Trustee (along with one other people) for four brothers whose father, a longtime family friend passed away. Mr. Bapis is not compensated in his role as Trustee/Co-Trustee for ANY of these accounts.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1980-05-15 |
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