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Current Employers
Rockefeller Capital Management

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-10-03
TX RA APPROVED 2024-09-18
  • FL RA
    APPROVED
    Since 2024-10-03
  • TX RA
    APPROVED
    Since 2024-09-18

Branch Locations

12012 South Shore Blvd., Suite 112, Wellington, FL 33414 • United States

Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-08-09
FL RA APPROVED 2022-07-21
  • TX RA
    APPROVED
    Since 2022-08-09
  • FL RA
    APPROVED
    Since 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

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
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
Previous Registrations
  • 2017-08-10 → 2022-06-30
    Spearhead Capital Advisors, Llc
    Wellington, FL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2022-08-05
  • S63 Uniform Securities Agent State Law Examination
    2022-08-05
Designations

View on SEC IAPD

Other Firms

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