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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 | 2021-05-09 |
Branch Locations
321 Broadway, Saratoga Springs, NY 12866 • 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 |
|---|---|---|---|---|
| State Street | Boston | MA | 02/2011 | 02/2017 |
| Eaton Vance Distributors, Inc. | Boston | MA | 02/2017 | 04/2021 |
| Rockefeller & Co | Saratoga Springs | NY | 05/2021 | Present |
| Rockefeller Finanacial Llc | Saratoga Springs | NY | 05/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-08-02 |
| S63 | Uniform Securities Agent State Law Examination | 2013-01-08 |
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