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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-04-25 |
| TX | RA | APPROVED_RES | 2024-02-21 |
Branch Locations
5355 Town Center Rd Floor 6, Boca Raton, FL 33486 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-02-01 |
| TX | RA | APPROVED_RES | 2021-01-21 |
Branch Locations
5355 Town Center Rd Floor 6, Boca Raton, FL 33486 • United States
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Manalapan | FL | 10/1980 | 01/2021 |
| Bank Of America, Na | Delray Beach | FL | 12/2009 | 01/2021 |
| Rockefeller Financial Ll | Boca Raton | FL | 01/2021 | Present |
| Rockefeller Capital Management | Boca Raton | FL | 02/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-11-25 |
| S63 | Uniform Securities Agent State Law Examination | 1981-02-25 |
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