Brittney Stephens

Employer firm

Rockefeller Capital Management CRD 294197

$36.8B regulatory AUM 423 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2012 → 04/2017
  J.P. Morgan Securities Llc
  Lakeside, CA
• 06/2026 → Present
  Rockefeller Capital Management
  The Woodlands, TX
• 06/2026 → Present
  Rockefeller Financial Llc
  The Woodlands, TX
• 05/2017 → 09/2021
  Commonwealth Financial Network
  Waltham, MA
• 09/2021 → 04/2024
  M Holdings Securities
  Portland, OR
• 04/2024 → 09/2025
  Commonwealth Financial Network
  Waltham, MA
• 09/2025 → Present
  Patten Training And Review
  Spring, TX
• 02/2026 → Present
  Ubs Asset Management (Us) Inc.
  New York, NY
• 02/2026 → Present
  Ubs Fund Services (Usa) Llc
  Hartford, CT
• 02/2026 → Present
  Ubs Financial Services Inc.
  Weehawken, NJ
• 05/2026 → Present
  Natisa Securities Llc
  West Chester, IL

Previous Registrations

• 2024-05-08 → 2025-09-03
  Commonwealth Financial Network
  Waltham, MA
  Magnolia, TX
• 2021-10-20 → 2024-04-29
  M Holdings Securities, Inc.
  Magnolia, TX
  Portland, OR

Other Businesses

Patten Training and Review LLC; Not Investment Related; 8111 Ashlane Way Ste 207 Spring, TX 77382, Compliance Consulting; Compliance Director; 09/2025; Hours vary based on business needs

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-06-21
• S63 Uniform Securities Agent State Law Examination
  2012-05-21

Other Names

• Brittney Bouffard
• Brittney H Bouffard
• Brittney Hanna Bouffard
• Brittney Hanna Stephens
• Brittney Stephens