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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-10-03 |
| TX | RA | APPROVED | 2024-09-18 |
Branch Locations
12012 South Shore Blvd., Suite 112, Wellington, FL 33414 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-08-09 |
| FL | RA | APPROVED | 2022-07-21 |
Branch Locations
12012 South Shore Blvd., Suite 112, Wellington, FL 33414 • United States
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Spearhead Capital Advisors, Llc | Wellington | FL | 08/2017 | 05/2022 |
| Northern Trust | West Palm Beach | FL | 05/2013 | 07/2017 |
| Rockefeller Financial Llc | Wellington | FL | 06/2022 | Present |
| Rockefeller Capital Management | Wellington | FL | 09/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-08-05 |
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