Regina Rochelle Monroe

Employer firm

Rockefeller Financial LLC CRD 291361

$99.6B regulatory AUM 223 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2011 → 11/2016
  Jp Morgan Securities Llc
  Los Angeles, CA
• 10/2011 → 11/2016
  Jpmorgan Chase Bank Na
  Los Angeles, CA
• 11/2016 → 08/2022
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  El Segundo, CA
• 08/2022 → Present
  Rockefeller Financial Llc
  Los Angeles, CA

Previous Registrations

• 2016-11-28 → 2022-08-16
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  El Segundo, CA
• 2011-10-17 → 2016-12-01
  J.P. Morgan Securities Llc
  Los Angeles, CA
• 2006-08-23 → 2011-10-24
  Deutsche Bank Securities Inc.
  Los Angeles, CA
  Los Angeles, CA
• 2004-03-15 → 2006-08-25
  Citigroup Global Markets Inc.
  El Segundo, CA
  El Segundo, CA

Exams

• S66 Uniform Combined State Law Examination
  2004-03-10

Other Names

• Regina Knox
• Regina R Monroe
• Regina Rochelle Monroe