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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-17 |
| CA | RA | APPROVED | 2023-03-29 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
800 Newport Center Drive Suite 650, Newport Beach, CA 92660 • United States
Montclair, CA • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-08-08 |
| CA | RA | APPROVED | 2024-08-07 |
Branch Locations
800 Newport Center Drive, Suite 650, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Pasadena | CA | 02/2016 | 11/2019 |
| Ubs Financial Services Inc. | Beverly Hills | CA | 11/2019 | 03/2020 |
| Wells Fargo Clearing Services, Llc | Pasadena | CA | 03/2020 | 03/2023 |
| Rockefeller Financial Llc | Newport Beach | CA | 03/2023 | Present |
| Rockefeller Capital Management | Newport Beach | CA | 08/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-11-19 |
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