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Benjamin Joseph Helvey

Rockefeller Financial LLC

Rolling Hills Estates, CA

Los Angeles, CA

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-03-11
TX RA APPROVED 2021-03-11
  • CA RA
    APPROVED
    Since 2021-03-11
  • TX RA
    APPROVED
    Since 2021-03-11

Branch Locations

Rolling Hills Estates, CA • United States

1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Los Angeles CA 09/2013 03/2021
Rockefeller Financial Llc Los Angeles CA 03/2021 Present
Rockefeller Capital Management Los Angeles CA 04/2024 Present
Previous Registrations
  • 2024-04-22 → 2025-11-06
    Rockefeller Capital Management
    Los Angeles, CA
  • 2013-09-09 → 2021-03-30
    Morgan Stanley
    Los Angeles, CA
  • 2008-09-22 → 2013-10-01
    Credit Suisse Securities (Usa) Llc
    Los Angeles, CA
  • 2004-02-17 → 2008-09-24
    Lehman Brothers Inc.
    Los Angeles, CA
    Los Angeles, CA
    New York, NY
  • 2002-08-13 → 2004-02-17
    Neuberger Berman Bd Llc
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-12
  • S66 Uniform Combined State Law Examination
    2002-08-12

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