Tracy Ann Gravius

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

Authority	Category	Status	Date
TX	RA	APPROVED	2026-03-17
CT	RA	APPROVED	2021-10-21

TX RA
APPROVED

Since 2026-03-17
CT RA
APPROVED

Since 2021-10-21

Branch Locations

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

300 First Stamford Place Suite 230, Stamford, CT 06902 • United States

Brookfield, CT • United States

Rockefeller Capital Management

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2024-08-09
TX	RA	APPROVED	2024-08-09

CT RA
APPROVED

Since 2024-08-09
TX RA
APPROVED

Since 2024-08-09

Branch Locations

300 First Stamford Place, Suite 230, Stamford, CT 06902 • 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

Organization	City	State	From	To
Rockefeller Financial Llc	Stamford	CT	10/2021	Present
Rockefeller & Co	Stamford	CT	10/2021	Present
Preganista Llc Dba Pregastyle	Brookfield	CT	02/2014	04/2020
Union Savings Bank	Litchfield	CT	06/2017	08/2017
Bny Mellon, N.A.	Greenwich	CT	08/2017	10/2021

10/2021 → Present

Rockefeller Financial Llc

Stamford, CT
10/2021 → Present

Rockefeller & Co

Stamford, CT
02/2014 → 04/2020

Preganista Llc Dba Pregastyle

Brookfield, CT
06/2017 → 08/2017

Union Savings Bank

Litchfield, CT
08/2017 → 10/2021

Bny Mellon, N.A.

Greenwich, CT

Previous Registrations

2012-10-01 → 2013-03-26

J.P. Morgan Securities Llc

Riverside, CT

Greenwich, CT
2012-05-29 → 2012-10-01

Chase Investment Services Corp.

Riverside, CT
2008-10-01 → 2012-04-17

J.P. Morgan Securities Llc

Greenwich, CT

New Canaan, CT
2006-11-02 → 2008-10-01

J.P. Morgan Securities Inc.

New York, NY

Greenwich, CT

New Canaan, CT
2006-02-21 → 2006-11-17

Chase Investment Services Corp.

Appleton, WI

Other Businesses

Young Living Essential Oils, located at 1538 W Sandalwood Drive, Lehi UT, 84043-4263, is a wellness company that owns a lot of its own farms and grows, distills, educates and distributes essential oils and essential oil-related products to its customers through it's distributors/brand partners. It is a multi-level marketing (MLM) company. It is not an investment-related business. My role is a distributor/brand partner which started in February 2017.At this point, I spend about an 1 hr/month on this venture and less than an hour per trading day. My role educates and sells essential oils and other Young Living products.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2024-12-09
S66	Uniform Combined State Law Examination	2006-02-17

S63 Uniform Securities Agent State Law Examination

2024-12-09
S66 Uniform Combined State Law Examination

2006-02-17

Designations

Certified Financial Planner

Other Names

Tracy A Johnson
Tracy A Johnson
Tracy A Gravius
Tracy A Gravius
Tracy Ann Gravius
Tracy Ann Johnson

View on SEC IAPD