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Advisor at ROCKEFELLER CAPITAL MANAGEMENT
Bethesda, MD | Florham Park, NJ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| ROCKEFELLER CAPITAL MANAGEMENT | Bd affiliated wealth | Apr 29, 2022 | n/a | yes | Florham Park, NJ|Bethesda, MD | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Sep 30, 2011 | May 3, 2022 | no | BETHESDA, MD|NORTH BETHESDA, MD|NORTH BETHESDA, MD|BETHESDA, MD | Previous registration |
| CONVERGENT WEALTH ADVISORS, LLC | Former SEC adviser | Jul 2, 2009 | Sep 29, 2011 | no | POTOMAC, MD | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Sep 7, 2007 | May 19, 2009 | no | WASHINGTON, DC | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Apr 25, 2005 | Sep 6, 2007 | no | WASHINGTON, DC|WASHINGTON, DC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | ROCKEFELLER CAPITAL MANAGEMENT | May 3, 2022 | Apr 29, 2022 | -4 | Firm change | Wirehouse to ibd |
| CONVERGENT WEALTH ADVISORS, LLC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Sep 29, 2011 | Sep 30, 2011 | 1 | Firm change | Other |
| UBS FINANCIAL SERVICES INC. | CONVERGENT WEALTH ADVISORS, LLC | May 19, 2009 | Jul 2, 2009 | 44 | Firm change | Other |
| CITIGROUP GLOBAL MARKETS INC. | UBS FINANCIAL SERVICES INC. | Sep 6, 2007 | Sep 7, 2007 | 1 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:291361:MD:2022-05-03 | May 3, 2022 | Apr 29, 2022 | BETHESDA, MD | Firm change |