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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2023-06-16 |
| TX | RA | APPROVED_RES | 2023-06-16 |
Branch Locations
Santa Rosa, CA • United States
Two Embarcadero Center Suite 2320, San Francisco, CA 94111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lightwave Laser | Santa Rosa | CA | 05/2018 | 09/2018 |
| Holly Hansen Public Relations | Santa Rosa | CA | 05/2018 | 09/2018 |
| Northern California Medical Associates | Santa Rosa | CA | 06/2019 | 09/2019 |
| Equitable Advisors, Llc | New York | NY | 07/2020 | 07/2022 |
| Moore School Of Business | Columbia | SC | 08/2016 | 01/2018 |
| College Of Business, University Of Oregon | Eugene | OR | 09/2018 | 06/2020 |
| Unemployed | Santa Rosa | CA | 02/2018 | 04/2018 |
| First Republic Securities Company, Llc | San Francisco | CA | 07/2022 | 06/2023 |
| First Republic Investment Management, Inc | San Francisco | CA | 07/2022 | 06/2023 |
| Rockefeller Financial Llc | San Francisco | CA | 06/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-01-14 |
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