Best Investors Account Sign in

Michael Joseph Giacco

Rockefeller Financial LLC

Saratoga Springs, NY

New York, NY

Claim This Profile
Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-09
  • NY RA
    APPROVED
    Since 2021-05-09

Branch Locations

321 Broadway, Saratoga Springs, NY 12866 • United States

45 Rockefeller Plaza Floor 5, New York, NY 10111 • USA

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 02/2011 → 02/2017
    State Street
    Boston, MA
  • 02/2017 → 04/2021
    Eaton Vance Distributors, Inc.
    Boston, MA
  • 05/2021 → Present
    Rockefeller & Co
    Saratoga Springs, NY
  • 05/2021 → Present
    Rockefeller Finanacial Llc
    Saratoga Springs, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-02
S63 Uniform Securities Agent State Law Examination 2013-01-08
  • S66 Uniform Combined State Law Examination
    2018-08-02
  • S63 Uniform Securities Agent State Law Examination
    2013-01-08

View on SEC IAPD

Other Firms

SARATOGA INVESTMENT SOLUTIONS INC.
COMMONWEALTH FINANCIAL NETWORK
JANNEY MONTGOMERY SCOTT LLC
CONTINUUM WEALTH ADVISORS, LLC
STERLING MANOR FINANCIAL, LLC
NYE STREET PARTNERS LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LPL FINANCIAL LLC

Other Investors

CYNTHIA ELIZABETH ZALEWSKY
BONNIE MARIE BOYCE
JEFFREY CHARLES VAHANIAN
CAMERON VICTORIA CORSI
Cory Matthew Larmour
ALAN JAY BOGATCH
JESSICA SUZANNE NILES
STEPHEN EDWARD KRAKOWER

Other Offices

SARATOGA INVESTMENT SOLUTIONS INC. · SARATOGA SPRINGS, NY
COMMONWEALTH FINANCIAL NETWORK · Saratoga Springs, NY
JANNEY MONTGOMERY SCOTT LLC · SARATOGA SPRINGS, NY
CONTINUUM WEALTH ADVISORS, LLC · SARATOGA SPRINGS, NY
STERLING MANOR FINANCIAL, LLC · SARATOGA SPRINGS, NY
NYE STREET PARTNERS LLC · SARATOGA SPRINGS, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SARATOGA SPRINGS, NY
LPL FINANCIAL LLC · SARATOGA SPRINGS, NY

More in Saratoga Springs, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor