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Ronald Samuel Ventura

Rockefeller Capital Management

Chicago, IL

Rockefeller Financial LLC

Chicago, IL

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Current Employers
Rockefeller Capital Management

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-08-19
TX RA APPROVED 2024-08-19
  • IL RA
    APPROVED
    Since 2024-08-19
  • TX RA
    APPROVED
    Since 2024-08-19

Branch Locations

227 West Monroe, Suite 2050, Chicago, IL 60606 • United States

Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-06-03
TX RA APPROVED 2024-05-17
  • IL RA
    APPROVED
    Since 2024-06-03
  • TX RA
    APPROVED
    Since 2024-05-17

Branch Locations

222 West Adams Suite 2450, Chicago, IL 60606 • 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 Chicago IL 06/2011 05/2024
Morgan Stanley Private Bank, N.A. New York NY 01/2015 05/2024
Rockefeller Financial Llc Chicago IL 05/2024 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 Present
Rockefeller Capital Management Chicago IL 08/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-03-07
S63 Uniform Securities Agent State Law Examination 1997-02-21
  • S65 Uniform Investment Adviser Law Examination
    1997-03-07
  • S63 Uniform Securities Agent State Law Examination
    1997-02-21
Other Names
  • Ronald S Ventura

View on SEC IAPD

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GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
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