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Account
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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-12-13 |
| CA | RA | APPROVED | 2022-10-28 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Los Angeles | CA | 02/2015 | 10/2022 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 01/2018 | 10/2022 |
| Rockefeller Financial Llc | Los Angeles | CA | 10/2022 | Present |
| Rockefeller Capital Management | Los Angeles | CA | 04/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-05-08 |
| S63 | Uniform Securities Agent State Law Examination | 2018-04-12 |
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