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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-06-17 |
| NJ | RA | APPROVED | 2025-04-16 |
| TX | RA | APPROVED_RES | 2025-04-16 |
Branch Locations
180 Park Avenue Suite 230, Florham Park, NJ 07932 • United States
Vero Beach, FL • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-04-21 |
| NJ | RA | APPROVED | 2025-04-16 |
| TX | RA | APPROVED_RES | 2025-04-16 |
Branch Locations
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
Vero Beach, FL • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Florham Park | NJ | 11/2013 | 04/2025 |
| Rockefeller Financial Llc | Florham Park | NJ | 04/2025 | Present |
| Rockefeller Capital Management | Florham Park | NY | 04/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-11-04 |
| S63 | Uniform Securities Agent State Law Examination | 1985-12-05 |
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