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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-08-11 |
| TX | RA | APPROVED | 2026-08-11 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-12-15 |
| TX | RA | APPROVED | 2025-12-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | New York | NY | 04/2015 | 12/2025 |
| Wells Fargo Clearing, Llc | New York | NY | 08/2017 | 12/2025 |
| Rockefeller Financial Llc | New York | NY | 12/2025 | Present |
| Rockefeller Capital Management | Ny | NY | 08/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-01-08 |
| S63 | Uniform Securities Agent State Law Examination | 2017-11-09 |
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