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Current Employers
Rockefeller Capital Management

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-08-27
  • TX RA
    APPROVED
    Since 2025-08-27

Branch Locations

1600 West Loop South Suite 700, Houston, TX 77027 • United States

Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-05-05
  • TX RA
    APPROVED
    Since 2025-05-05

Branch Locations

1600 West Loop South, Suite 700, Houston, TX 77027 • United States

300 Crescent Court Suite 1450, Dallas, TX 75201 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rockefeller Financial Llc Houston TX 09/2023 Present
Bank Of America Houston TX 07/2013 06/2023
Rockefeller Capital Management Houston TX 08/2025 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-05-05
  • S66 Uniform Combined State Law Examination
    2025-05-05

View on SEC IAPD

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