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John Edward Carl

Rockefeller Financial LLC

Albany, NY

Saratoga Springs, NY

Chicago, IL

Rockefeller Capital Management

Saratoga Springs, NY

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Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-01-31
TX RA APPROVED_RES 2025-01-31
  • NY RA
    APPROVED
    Since 2025-01-31
  • TX RA
    APPROVED_RES
    Since 2025-01-31

Branch Locations

187 Wolf Road Suite 300, Albany, NY 12205 • United States

321 Broadway, Saratoga Springs, NY 12866 • United States

222 West Adams Suite 2450, Chicago, IL 60606 • United States

Rockefeller Capital Management

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-01-31
TX RA APPROVED_RES 2025-01-31
  • NY RA
    APPROVED
    Since 2025-01-31
  • TX RA
    APPROVED_RES
    Since 2025-01-31

Branch Locations

321 Broadway, Saratoga Springs, NY 12866 • 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
Janney Montgomery Scott Llc Saratoga Springs NY 09/2015 09/2023
Janney Montgomery Scott Llc Albany NY 09/2023 01/2025
Rockefeller Financial Llc Saratoga Springs NY 01/2025 Present
Rockefeller Capital Management Saratoga Springs NY 01/2025 Present
Previous Registrations
Other Businesses

Boogie Fish Property LLC

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-10-15
S63 Uniform Securities Agent State Law Examination 1997-08-25
  • S65 Uniform Investment Adviser Law Examination
    2020-10-15
  • S63 Uniform Securities Agent State Law Examination
    1997-08-25

View on SEC IAPD

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