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Current Employers
Rockefeller Capital Management

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2025-08-27
TX RA APPROVED 2025-08-27
  • MO RA
    APPROVED
    Since 2025-08-27
  • TX RA
    APPROVED
    Since 2025-08-27

Branch Locations

16090 Swingley Ridge Road, Chesterfield, MO 63017 • United States

Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2023-05-26
TX RA APPROVED 2023-05-26
  • MO RA
    APPROVED
    Since 2023-05-26
  • TX RA
    APPROVED
    Since 2023-05-26

Branch Locations

16090 Swingley Ridge Road, Chesterfield, MO 63017 • United States

300 Crescent Court Suite 1450, Dallas, TX 75201 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chesterfield MO 10/2016 05/2023
Unemployed Washington MO 06/2016 10/2016
Bank Of America, N.A. Chesterfield MO 02/2017 05/2023
Rockefeller Financial Llc Chesterfield MO 05/2023 Present
Rockefeller Capital Management Chesterfield MO 08/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-08
  • S66 Uniform Combined State Law Examination
    2017-02-08

View on SEC IAPD

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