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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-03-22 |
| TX | RA | APPROVED | 2024-03-22 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
1850 Mt Diablo Boulevard - Suite 300, Walnut Creek, CA 94596 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-03-22 |
| TX | RA | APPROVED | 2024-03-22 |
Branch Locations
1850 Mt Diablo Boulevard - Suite 300, Walnut Creet, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Investment Management | San Francisco | CA | 09/2004 | 04/2017 |
| First Republic Securities Company, Llc | Walnut Creek | CA | 04/2017 | 03/2024 |
| First Republic Investment Management, Inc. | Walnut Creek | CA | 04/2017 | 03/2024 |
| J.P. Morgan Securities Llc | Walnut Creek | CA | 09/2023 | 03/2024 |
| Rockefeller Financial Llc | Walnut Creet | CA | 03/2024 | Present |
| Rockefeller Capital Management | Walnut Creek | CA | 03/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2014-12-17 |
| S65 | Uniform Investment Adviser Law Examination | 1994-12-15 |
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