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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-08-06 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
800 Newport Center Drive Suite 650, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Austin | TX | 11/2017 | 05/2020 |
| Morgan Stanley | Burlingame | CA | 05/2020 | 04/2022 |
| Sageview Advisory Group, Llc (Crd #126777) | Newport Beach | CA | 06/2022 | 06/2023 |
| Cetera Advisor Networks | El Segundo | CA | 07/2022 | 06/2023 |
| Corient | Newport Beach | CA | 07/2023 | 11/2024 |
| Corient Services Llc | Miami | FL | 07/2023 | 11/2024 |
| Michigan State University | East Lansing | MI | 08/2012 | 11/2017 |
| Thece Wealth Management | Newport Beach | CA | 11/2024 | 01/2025 |
| Provenio Capital Management Llc | Newport Beach | CA | 04/2025 | 07/2025 |
| Rockefeller Financial Llc | Newport Beach | CA | 07/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-10-10 |
| S66 | Uniform Combined State Law Examination | 2018-01-12 |
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