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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2022-10-18 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • USA
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | New York | NY | 03/2011 | 01/2017 |
| Morgan Stanley | New York | NY | 01/2017 | 09/2022 |
| Rockefeller Capital Management | Ny | NY | 10/2022 | Present |
| Rockefeller Financial Llc | Ny | NY | 10/2022 | Present |
Hudson Food Court; New York, NY; Deli; Cashier; 1/1/2005; Investment Related (Y or N): No; Time spent during business hours: 0; Time spent outside of trading hours: 2-3 days/Month
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2014-10-06 |
| S65 | Uniform Investment Adviser Law Examination | 2006-03-06 |
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