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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-07-03 |
| TX | RA | APPROVED | 2023-07-03 |
Branch Locations
Two Embarcadero Center, Suite 2320, San Francisco, CA 94111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-05-05 |
| TX | RA | APPROVED | 2023-05-05 |
Branch Locations
Two Embarcadero Center Suite 2320, San Francisco, CA 94111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Republic Securities Co. Llc | San Francisco | CA | 05/2004 | 04/2017 |
| First Republic Securities Company, Llc | San Francisco | CA | 04/2017 | 01/2023 |
| First Republic Investment Management, Inc. | San Francisco | CA | 04/2017 | 01/2023 |
| Rockefeller Financial Llc | San Francisco | CA | 05/2023 | Present |
| First Republic | San Francisco | CA | 01/2023 | 04/2023 |
| Rockefeller Capital Management | San Franciso | CA | 07/2023 | Present |
(1) Name: Tavern Shores #204 LLC Address: California Investment-related: Yes Nature of the business: rental property Role: Part Owner Start Date: May 20, 2014 Description of duties: None Number of hours each month: None Number of hours during trading: None
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-02-23 |
| S65 | Uniform Investment Adviser Law Examination | 1994-02-16 |
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