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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2022-04-11 |
| TX | RA | APPROVED | 2022-04-11 |
Branch Locations
New Milford, CT • United States
300 First Stamford Place Suite 230, Stamford, CT 06902 • United States
2445 Kuser Road, Suite 302 Zone A, Hamilton, NJ 08690 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Greenwich | CT | 11/2010 | 07/2021 |
| J.P. Morgan Chase Bank, Na | Greenwich | CT | 01/2017 | 07/2021 |
| Rockefeller & Co | Stamford | CT | 07/2021 | 12/2023 |
| Rockefeller Financial Llc | Stamford | CT | 07/2021 | Present |
Entity Name: YogaSpace LLC Investment related: No Address: 778 Bethel, CT Nature of the other business: Yoga Position/Title/Relationship: Instructor Start Date: 04-Oct-2016 Approximate # of hours a month: 6 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Instructor
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-04-11 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-04 |
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