John Broderick

Employer firm

Rockefeller Financial LLC CRD 291361

$99.6B regulatory AUM 223 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 07/2019 → 07/2021
  Credit Suisse Securities (Usa) Llc
  New York, NY
• 06/2017 → 08/2017
  Fjord Ventures
  Laguna Niguel, CA
• 09/2015 → 06/2019
  Washington And Lee University
  Lexington, VA
• 08/2021 → 09/2021
  Stifel, Nicolaus & Company, Incorporated
  Bryant Park, NY
• 09/2021 → 02/2025
  Stifel, Nicolaus & Company, Incorporated
  Bryant Park, NY
• 02/2025 → Present
  Rockefeller Financial Llc
  Ny, NY
• 02/2025 → Present
  Rockefeller Capital Management
  Ny, NY

Previous Registrations

• 2021-09-10 → 2025-02-26
  Stifel, Nicolaus & Company, Incorporated
  New York, NY

Other Businesses

200 West Houston Owners Corp; Non-investment related; New York, NY 10014; Board Member; 12/10/2025; 1 hour a month and 0 hours during trading hours; Oversee the upkeep of the building.

Exams

• S66 Uniform Combined State Law Examination
  2021-09-09

Designations

• Chartered Financial Analyst

Other Names

• John Xavier Broderick