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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-09-19 |
Branch Locations
300 First Stamford Place, Stamford, CT 06902 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2021-06-29 |
Branch Locations
300 First Stamford Place Suite 230, Stamford, CT 06902 • United States
45 Rockefeller Plaza, New York, NY 10111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rockefeller Capital Management | New York | NY | 09/2011 | Present |
| Rockefeller Financial Llc | Stamford | CT | 09/2011 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-02-26 |
| S65 | Uniform Investment Adviser Law Examination | 2008-06-19 |
| S63 | Uniform Securities Agent State Law Examination | 2004-03-08 |
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