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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-01-22 |
Branch Locations
1600 West Loop South, Suite 700, Houston, TX 77027 • United States
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-01-22 |
Branch Locations
1600 West Loop South, Suite 700, Houston, TX 77027 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Houston | TX | 07/2012 | 08/2020 |
| Morgan Stanley Smith Barney Llc | Houston | TX | 08/2020 | 01/2025 |
| Morgan Stanley Private Bank, N.A | New York | NY | 07/2024 | 01/2025 |
| Rockefeller Financial Llc | Houston | TX | 01/2025 | Present |
| Rockefeller Capital Management | Houston | TX | 01/2025 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 07/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1999-05-25 |
| S63 | Uniform Securities Agent State Law Examination | 1987-11-25 |
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