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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-08-07 |
| TX | RA | APPROVED | 2024-08-07 |
Branch Locations
5605 Carnegie Blvd., Suite 150 & Suite 200, Charlotte, NC 28209 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-05-13 |
| TX | RA | APPROVED | 2024-05-13 |
Branch Locations
Rocky Mount, NC • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pennington | NJ | 07/2014 | 05/2017 |
| Morgan Stanley | Philadelphia | PA | 07/2017 | 09/2017 |
| Morgan Stanley | Charlotte | NC | 09/2017 | 12/2023 |
| Rockefeller Financial Llc | Charlotte | NC | 05/2024 | Present |
| Unemployed | Rocky Mount | NC | 01/2024 | 05/2024 |
| Rockefeller Capital Management | Charlotte | NC | 08/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 1987-09-17 |
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