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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2024-01-12 |
| TX | RA | APPROVED | 2024-01-12 |
Branch Locations
45 Ottawa Ave Sw, Suite 700, Grand Rapids, MI 49503 • United States
222 West Adams Suite 2450, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Grand Rapids | MI | 08/2016 | 01/2024 |
| Rockefeller Financial Llc | Grand Rapids | MI | 01/2024 | Present |
I*129710 For profit or not for profit: For-Profit Organization Name of outside business organization: Self Employment - LLC name awaiting confirmation Investment related: N Address of business: Walker, Michigan 49534 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 2/4/2020 Number of hours devoted: 50 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: LLC established for property management/overseeing real estate rental operations. I will be the owner of the LLC. My responsibilities involve handling property repairs & handling tenant facing interactions. No other partners. Not marketed to clients.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 2020-10-27 |
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