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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-05-07 |
| TX | RA | APPROVED_RES | 2025-09-22 |
| CT | RA | APPROVED | 2022-08-18 |
Branch Locations
300 First Stamford Place Suite 230, Stamford, CT 06902 • United States
45 Rockefeller Plaza, New York, NY 10111 • United States
5355 Town Center Rd Floor 6, Boca Raton, FL 33486 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc. | Greenwich | CT | 03/2004 | 09/2016 |
| Raymond James & Associates, Inc. | Greenwich | CT | 09/2016 | 08/2022 |
| Rockefeller Financial Llc | Stamford | CT | 08/2022 | Present |
| Rockefeller Financial Llc | Boca Raton | FL | 08/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-12-14 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-29 |
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