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Darrel Gene Preston

Rockefeller Financial LLC

Dallas, TX

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-05-29
  • TX RA
    APPROVED
    Since 2020-05-29

Branch Locations

300 Crescent Court Suite 1450, Dallas, TX 75201 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Dallas TX 12/2008 05/2020
Bank Of America, Na Dallas TX 11/2009 05/2020
Rockefeller Financial Llc Dallas TX 05/2020 Present
  • 12/2008 → 05/2020
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Dallas, TX
  • 11/2009 → 05/2020
    Bank Of America, Na
    Dallas, TX
  • 05/2020 → Present
    Rockefeller Financial Llc
    Dallas, TX
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-10-30
S63 Uniform Securities Agent State Law Examination 1992-10-26
  • S65 Uniform Investment Adviser Law Examination
    1992-10-30
  • S63 Uniform Securities Agent State Law Examination
    1992-10-26
Other Names
  • Darrell G Preston

View on SEC IAPD

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