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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2022-05-06 |
| MA | RA | APPROVED | 2020-12-15 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
115 Federal St, Floor 23, Boston, MA 02110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nylife Securities Llc | New York | NY | 10/2019 | 12/2020 |
| New York Life Insurance Co. | New York | NY | 03/2019 | 12/2020 |
| New York Private Trust Company | New York | NY | 03/2015 | 03/2019 |
| Rockefeller & Co Llc | Boston | MA | 12/2020 | Present |
| Rockefeller Financial Llc | Boston | MA | 12/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-11-05 |
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