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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 | 2025-10-31 |
| FL | RA | APPROVED | 2022-07-01 |
| IN | RA | APPROVED | 2021-11-03 |
Branch Locations
222 West Adams Suite 2450, Chicago, IL 60606 • United States
Sarasota, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Indianapolis | IN | 03/1989 | 10/2021 |
| Bank Of America,Na | Indianapolis | IN | 11/2009 | 10/2021 |
| Rockefeller Financial Llc | Indianapolis | IN | 10/2021 | 06/2022 |
| Rockefeller Financial Llc | Sarasota | FL | 06/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-25 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-01 |
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