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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-08-16 |
| MI | RA | APPROVED | 2023-10-02 |
| TX | RA | APPROVED_RES | 2023-10-02 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Birmingham | MI | 03/2016 | 09/2023 |
| Morgan Stanley Private Bank, National Association | New York | NY | 03/2016 | 09/2023 |
| Rockefeller Financial Llc | White Lane | MI | 09/2023 | 08/2024 |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | 09/2023 |
| Rockefeller Financial Llc | Charlotte | NC | 08/2024 | Present |
* 470819- Rental Property; Investment related Yes;1410 Central, Kannapolis, State; North Carolina; Other (proprietor, partner, officer, director, employee, trustee, agent); 01/2022; During business hours: 0; After business hours: 1; Property Management *470816- Conrick Investments (NC) 2 LLC; Investment related -No; Madison, Wisconsin; Real Estate; Member LLC (proprietor, partner, officer, director, employee, trustee, agent); 12/2021; During business hours: 0; After business hours: 0; Passive Member
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-09-24 |
| S63 | Uniform Securities Agent State Law Examination | 2009-08-15 |
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