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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2024-08-07 |
| TX | RA | APPROVED | 2024-08-07 |
Branch Locations
3825 Edwards Road - Suite 630, Cincinnati, OH 45209 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-08-03 |
| OH | RA | APPROVED | 2023-05-10 |
Branch Locations
222 West Adams Suite 2450, Chicago, IL 60606 • United States
3825 Edwards Road - Suite 630, Cincinnati, OH 45209 • United States
Cincinnati, OH • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner &Amp; Smith Incorporated | Cincinnati | OH | 07/2010 | 05/2023 |
| Rockefeller Financial Llc | Cinnicinati | OH | 05/2023 | Present |
| Rockefeller Capital Management | Cincinnati | OH | 08/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-02-28 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-19 |
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