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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-07-14 |
| TX | RA | APPROVED | 2025-06-27 |
Branch Locations
515 E Las Olas Blvd Suite 1650, Fort Lauderdale, FL 33301 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-07-07 |
| TX | RA | APPROVED | 2025-06-27 |
Branch Locations
515 E Las Olas Blvd Suite 1650, Fort Lauderdale, FL 33301 • United States
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Aventura | FL | 02/2013 | 06/2025 |
| Rockefeller Financial Llc | Fort Lauderdale | FL | 06/2025 | Present |
| Rockefeller Capital Management | Fort Lauderdale | FL | 06/2025 | Present |
1) 600 East Main Street LLC / Aspen, Colorado 81611 / for the purposes of personal use and seasonal rentals / Real Estate / Partnership / oversight of the condo for the purpose of seasonal rentals / 4/1/2019 /// 2) Kids In Distress; 819 NE 26 Street, Fort Lauderdale, Florida 33305; Charity; a non profit charity that is community based with a board of directors . its mission is outreach activities in preventing child abuse, preserve and reunited families, treat children who have been abused, and provide foster and adoption care for children.; Member of Board of directors; oversight of the management team and organizational functions, setting policy, review of financials, and governance related activities of the board; Start date: 4/15/2024; Authority to make investment decisions: Yes
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-12-31 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-02 |
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