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Haley Brehm

Rockefeller Financial LLC

Charlotte, NC

Chicago, IL

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2026-03-03
NY RA APPROVED 2023-10-30
TX RA APPROVED 2023-10-30
  • NC RA
    APPROVED
    Since 2026-03-03
  • NY RA
    APPROVED
    Since 2023-10-30
  • TX RA
    APPROVED
    Since 2023-10-30

Branch Locations

5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209 • United States

222 West Adams Suite 2450, Chicago, IL 60606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ayco Cohoes NY 06/2021 08/2021
15 Church Saratoga Springs NY 06/2020 08/2020
Charles Schwab Saratoga Springs NY 12/2019 03/2020
Albany Academy Albany NY 09/2004 07/2018
Siena College Loudenville NY 07/2018 05/2022
Rockefeller Capital Management Saratoga NY 10/2023 02/2026
Rockefeller Financial Llc Saratoga NY 10/2023 02/2026
Goldman Sachs & Co. Llc Cohoes NY 07/2022 10/2023
Rockefeller Capital Management Charlotte NC 03/2026 Present
Rockefeller Financial Llc Charlotte NC 03/2026 Present
  • 06/2021 → 08/2021
    Ayco
    Cohoes, NY
  • 06/2020 → 08/2020
    15 Church
    Saratoga Springs, NY
  • 12/2019 → 03/2020
    Charles Schwab
    Saratoga Springs, NY
  • 09/2004 → 07/2018
    Albany Academy
    Albany, NY
  • 07/2018 → 05/2022
    Siena College
    Loudenville, NY
  • 10/2023 → 02/2026
    Rockefeller Capital Management
    Saratoga, NY
  • 10/2023 → 02/2026
    Rockefeller Financial Llc
    Saratoga, NY
  • 07/2022 → 10/2023
    Goldman Sachs & Co. Llc
    Cohoes, NY
  • 03/2026 → Present
    Rockefeller Capital Management
    Charlotte, NC
  • 03/2026 → Present
    Rockefeller Financial Llc
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-22
  • S66 Uniform Combined State Law Examination
    2022-09-22

View on SEC IAPD

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