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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2026-06-15 |
| TX | RA | APPROVED | 2026-06-03 |
Branch Locations
3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-12-04 |
| MD | RA | APPROVED | 2022-04-29 |
| TX | RA | APPROVED | 2022-04-29 |
Branch Locations
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Rockville | MD | 02/2008 | 04/2022 |
| Bank Of America, N.A. | Bethesda | MD | 06/2011 | 04/2022 |
| Rockefeller Financial Llc | Bethesda | MD | 04/2022 | 11/2023 |
| Rockefeller Financial Llc | Palm Beach | FL | 12/2023 | Present |
I*28615 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SUBURBAN HOSPITAL FOUNDATION INC INVESTMENT RELATED: N ADDRESS OF BUSINESS: BETHESDA, MARYLAND 20814 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 10/15/2009 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DIRECTOR/BOARD MEMBER FUNDRAISING AND SUPPORT FOR THE HOSPITAL
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-06-16 |
| S63 | Uniform Securities Agent State Law Examination | 1984-05-30 |
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