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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 |
|---|---|---|---|
| SC | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED | 2024-05-24 |
Branch Locations
202 Bluffton Road, 3Rd Floor, Bluffton, SC 29910 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • USA
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Naples | FL | 10/2015 | 12/2019 |
| Raymond James & Associates, Inc | Mount Pleasant | SC | 01/2020 | 10/2020 |
| Unemployed | Mount Pleasant | SC | 10/2020 | 01/2021 |
| Fidelity Investments | Mount Pleasant | SC | 01/2021 | 06/2022 |
| Kestra Investment Services, Llc | Mount Pleasant | SC | 06/2022 | 11/2022 |
| Kestra Advisory Services, Llc | Mount Pleasant | SC | 06/2022 | 11/2022 |
| Morgan Stanley Smith Barney Llc | Savannah | GA | 12/2022 | 05/2024 |
| Rockefeller Financial Llc | Bluffton | SC | 05/2024 | 11/2024 |
| Rockefeller Financial Llc | Hilton Head Island | SC | 11/2024 | 01/2026 |
| Rockefeller Financial Llc | Bluffton | SC | 01/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-06-04 |
| S63 | Uniform Securities Agent State Law Examination | 2018-05-18 |
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