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CRD 5210391
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 | 2025-02-10 |
| TX | RA | APPROVED | 2025-01-31 |
Branch Locations
Middlegrove, NY • United States
321 Broadway, Saratoga Springs, NY 12866 • United States
222 West Adams Suite 2450, Chicago, IL 60606 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-01-31 |
| TX | RA | APPROVED | 2025-01-31 |
Branch Locations
Middlegrove, NY • United States
321 Broada, Saratoga Springs, NY 12866 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Saratoga Springs | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Saratoga Springs | NY | 11/2016 | 08/2017 |
| Ameriprise Financial Services Inc | Saratoga Springs | NY | 08/2017 | 08/2021 |
| Janney Montgomery Scott Llc | Albany | NY | 08/2021 | 08/2023 |
| Janney Montgomery Scott Llc | Albany | NY | 08/2023 | 01/2025 |
| Rokefeller Capital Management | Saratoga Springs | NY | 01/2025 | Present |
| Rockefeller Financial Llc | Saratoga Springs | NY | 01/2025 | Present |
| Rockefeller Financial Llc | Middlegrove | NY | 08/2026 | Present |
| Rockefeller Capital Management | Middlegrove | NY | 08/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-04-27 |
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