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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2026-06-22 |
| NY | RA | APPROVED | 2025-07-17 |
| TX | RA | APPROVED | 2025-07-17 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
Cedar Grove, NJ • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2026-06-22 |
| NY | RA | APPROVED | 2025-07-17 |
| TX | RA | APPROVED | 2025-07-17 |
Branch Locations
45 Rockefeller Plaza 5Th Floor, Ny, NY 10111 • United States
Cedar Grove, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 03/2015 | 07/2025 |
| Rockefeller Financial Llc | Nyt | NY | 07/2025 | Present |
| Rockefeller Capital Management | Ny | NY | 07/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 2015-03-23 |
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