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Advisor at ROCKEFELLER CAPITAL MANAGEMENT
New York, NY | Shrewsbury, 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 22, 2024 | n/a | yes | Shrewsbury, NJ | Current employment |
| ROCKEFELLER CAPITAL MANAGEMENT | Bd affiliated wealth | Feb 1, 2021 | n/a | yes | Shrewsbury, NJ|New York, NY | Current employment |
| STIFEL, NICOLAUS & COMPANY, INCORPORATED | National bd RIA | Dec 4, 2015 | May 26, 2020 | no | NEW YORK, NY|ST. LOUIS, MO | Previous registration |
| BARCLAYS CAPITAL INC. | Former SEC adviser | Aug 22, 2012 | Dec 4, 2015 | no | NEW YORK, NY|NEW YORK, NY | Previous registration |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Sep 5, 2012 | no | Red Bank, NJ|Red Bank, NJ|RED BANK, NJ | Previous registration |
| MORGAN STANLEY & CO. LLC | n/a | Apr 2, 2007 | Jun 1, 2009 | no | RED BANK, NJ | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Aug 17, 2006 | Apr 2, 2007 | no | RED BANK, NJ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| STIFEL, NICOLAUS & COMPANY, INCORPORATED | ROCKEFELLER CAPITAL MANAGEMENT | May 26, 2020 | Feb 1, 2021 | 251 | Firm change | Ibd to ibd |
| BARCLAYS CAPITAL INC. | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Dec 4, 2015 | Dec 4, 2015 | 0 | Bulk transfer | Other |
| MORGAN STANLEY | BARCLAYS CAPITAL INC. | Sep 5, 2012 | Aug 22, 2012 | -14 | Firm change | Other |
| MORGAN STANLEY & CO. LLC | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| MORGAN STANLEY DW INC. | MORGAN STANLEY & CO. LLC | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 793:291361:MO:2020-05-26 | May 26, 2020 | Feb 1, 2021 | ST LOUIS, MO | Firm change |