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Loreen A Washburn

Rockefeller Financial LLC

Los Angeles, CA

Redondo Beach, CA

CRD 4577701

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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:

Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-09-27
TX RA APPROVED 2019-09-27
  • CA RA
    APPROVED
    Since 2019-09-27
  • TX RA
    APPROVED
    Since 2019-09-27

Branch Locations

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

Redondo Beach, CA • 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
Wells Fargo Advisors Woodland Hills CA 09/2012 11/2016
Wells Fargo Clearing Services, Llc Woodland Hills CA 11/2016 09/2019
Rockefeller Financial Llc Los Angeles CA 09/2019 Present
Rock & Co Llc Los Angeles CA 09/2019 Present
Previous Registrations
  • 2014-09-08 → 2019-10-04
    Wells Fargo Clearing Services, Llc
    Woodland Hills, CA
    Sacramento, CA
    Beverly Hills, CA
    Beverly Hills, CA
    Beverly Hills, CA
    Beverly Hills, CA
    Beverly Hills, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-05-15
  • S63 Uniform Securities Agent State Law Examination
    2004-05-15
Other Names
  • Loreen Adele Schneider

View on SEC IAPD

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