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Account
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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-04-30 |
| TX | RA | APPROVED | 2024-03-07 |
Branch Locations
3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-11-17 |
| TX | RA | APPROVED | 2021-11-12 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scott & Stringfellow, Llc | Mclean | VA | 06/2009 | 02/2021 |
| Bb&T Securities, Llc | Mclean | VA | 01/2013 | 11/2021 |
| Truist Investment Services, Inc. | Palm Beach | FL | 02/2021 | 11/2021 |
| Truist Advisory Services, Inc. | Atlanta | GA | 02/2021 | 11/2021 |
| Rockefeller Financial Llc | Palm Beach | FL | 11/2021 | Present |
| Rockefeller Capital Management | Palm Beach Gardens | FL | 02/2024 | Present |
DNA HOLDINGS POSITION: Partner NATURE: Passive Investment Holding INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/26/2021 ADDRESS: , Bethesda MD , United States DESCRIPTION: None
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-01-22 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-01 |
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