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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 | 2025-03-28 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Dallas | TX | 08/2015 | 11/2022 |
| Morgan Stanley | Dallas | TX | 12/2022 | 06/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Dallas | TX | 07/2023 | 03/2025 |
| Bank Of America, N.A. | Dallas | TX | 07/2023 | 03/2025 |
| Rockefeller Financial Llc | Dallas | TX | 03/2025 | Present |
| Rockefeller Capital Management | Dallas | TX | 03/2025 | Present |
For profit or not for profit: Not applicable Name of outside business organization Astoria COOOP (Real Estate) Investment related: No Address of business (City and State Only): Astoria, NY 11105 Nature of business: Rental property Position, title, association: Individual Shareholder Start date of relationship: 8/15/2012 Number of hours devoted: 1 Number of hours devoted during trading hours: 0 Duties: Owner
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-09-30 |
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