Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 | 2023-06-15 |
| NY | RA | APPROVED | 2023-03-28 |
Branch Locations
321 Broadway, Saratoga Springs, NY 12866 • United States
222 West Adams Suite 2450, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mirbeau Inn And Spa | Skaneateles | NY | 08/2016 | 12/2019 |
| Student | Auburn | NY | 09/2013 | 06/2018 |
| Student | Loudonville | NY | 09/2018 | 05/2022 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 05/2021 | 11/2021 |
| Northwestern Mutual Investment Services Llc | E Syracuse | NY | 08/2021 | 11/2021 |
| Rockefeller Financial Llc | Saratoga Springs | NY | 07/2022 | Present |
| Student | Auburn | NY | 05/2022 | 07/2022 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-03-28 |
Reach out to this advisor