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Keith Joseph Bernard

Rockefeller Capital Management

Saratoga Springs, NY

Rockefeller Financial LLC

Saratoga Springs, NY

Chicago, IL

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Current Employers
Rockefeller Capital Management

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2022-07-13
NY RA APPROVED 2022-07-12
TX RA APPROVED 2022-07-12
  • NJ RA
    APPROVED
    Since 2022-07-13
  • NY RA
    APPROVED
    Since 2022-07-12
  • TX RA
    APPROVED
    Since 2022-07-12

Branch Locations

321 Broadway, Saratoga Springs, NY 12866 • United States

Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-02-17
NY RA APPROVED 2021-03-22
  • TX RA
    APPROVED_RES
    Since 2022-02-17
  • NY RA
    APPROVED
    Since 2021-03-22

Branch Locations

321 Broadway, Saratoga Springs, NY 12866 • United States

222 West Adams Suite 2450, Chicago, IL 60606 • United States

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
The Ayco Company, L.P./Mercer Allied Saratoga Springs NY 04/2011 10/2019
Rockefeller Financial Llc Saratoga Springs NY 11/2019 Present
Rock & Co Llc Saratoga Springs NY 11/2019 Present
  • 04/2011 → 10/2019
    The Ayco Company, L.P./Mercer Allied
    Saratoga Springs, NY
  • 11/2019 → Present
    Rockefeller Financial Llc
    Saratoga Springs, NY
  • 11/2019 → Present
    Rock & Co Llc
    Saratoga Springs, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-02-11
  • S66 Uniform Combined State Law Examination
    2012-02-11

View on SEC IAPD

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SARATOGA INVESTMENT SOLUTIONS INC. · SARATOGA SPRINGS, NY
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CONTINUUM WEALTH ADVISORS, LLC · SARATOGA SPRINGS, NY
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