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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-10-01 |
| TX | RA | APPROVED | 2025-10-01 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-10-01 |
| TX | RA | APPROVED | 2025-10-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Fresno | CA | 02/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Fresno | CA | 11/2016 | 01/2022 |
| Ubs Financial Services Inc | Fresno | CA | 01/2022 | 09/2025 |
| Rockefeller Financial Llc | Clovis | CA | 09/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-03-25 |
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