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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2026-04-01 |
| NY | RA | APPROVED | 2025-01-17 |
| TX | RA | APPROVED | 2025-01-17 |
Branch Locations
300 First Stamford Place Suite 230, Stamford, CT 06902 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-01-17 |
| NY | RA | APPROVED | 2025-01-17 |
| TX | RA | APPROVED | 2025-01-17 |
Branch Locations
300 First Stamford Place Suite 230, Stamford, CT 06902 • United States
45 Rockefeller Plaza, New York, NY 10111 • 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 |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | New York | NY | 10/2010 | 01/2025 |
| J.P. Morgan Securities Llc | New York | NY | 10/2008 | 01/2025 |
| Rockefeller Financial Llc | Ny | NY | 01/2025 | 04/2026 |
| Rockefeller Capital Managment | Nyh | NY | 01/2025 | 04/2026 |
| Rockefeller Financial Llc | Stamford | CT | 04/2026 | Present |
| Rockefeller Capital Managment | Stamford | CT | 04/2026 | Present |
Effective 6/15/2018 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-06-13 |
| S63 | Uniform Securities Agent State Law Examination | 1979-07-25 |
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