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Rockefeller Financial LLC CRD 291361
$99.6B regulatory AUM 223 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-12-09 |
Branch Locations
9950 Woodloch Forest Tower, 4Th Floor, The Woodlands, TX 77380 • United States
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Bank Of America, N.A. | Plano | TX | 06/2016 | 09/2021 |
| Stifel Nicolaus & Co Inc | Dallas | TX | 09/2021 | 12/2025 |
| Rockefeller Financial Llc | Dallas | TX | 12/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-10-03 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-22 |
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