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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-09-30 |
| VA | RA | APPROVED | 2025-08-27 |
Branch Locations
1812 N Moore St, Suite 1700, Arlington, VA 22209 • United States
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Alexandria | VA | 02/1992 | 08/2025 |
| #Ia Merrill Lynch, Pierce, Fenner & Smit | Alexandria | VA | 02/1992 | 08/2025 |
| Bank Of America, N.A. | Alexandria | VA | 09/2022 | 08/2025 |
| Rockefeller Financial Llc | Arlington | VA | 08/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-26 |
| S63 | Uniform Securities Agent State Law Examination | 1991-09-20 |
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