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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-07-18 |
| VA | RA | APPROVED | 2023-11-13 |
| WV | RA | APPROVED | 2023-11-13 |
Branch Locations
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
Fernandina Beach, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Janney Montgomery Scott Llc | Washington | DC | 08/2009 | 10/2023 |
| Rockefeller Financial Llc | Arlington | VA | 10/2023 | 07/2024 |
| Rockefeller Financial Llc | Fernandina Beach | FL | 07/2024 | Present |
1. NATIONAL MUSEUM OF WOMEN IN THE ARTS; 1250 NEW YORK AVE NW, WASHINGTON DC 20005. POSITION: TREASURER BOARD OF TRUSTEES AND CHAIR OF THE BUILDING OVERSITE COMMITTEE. DEVOTES 10 HOURS MONTHLY; NOT COMPENSATED., NOT INVESTMENT RELATED, RECUSES HERSELF FROM ENDOWMENT INVESTMENTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-07-26 |
| S63 | Uniform Securities Agent State Law Examination | 1984-02-10 |
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