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Mitchell William Fanning

Rockefeller Financial LLC

Saratoga Springs, NY

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
TX RA APPROVED 2023-06-15
NY RA APPROVED 2023-03-28
  • TX RA
    APPROVED
    Since 2023-06-15
  • NY RA
    APPROVED
    Since 2023-03-28

Branch Locations

321 Broadway, Saratoga Springs, NY 12866 • 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
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
  • 08/2016 → 12/2019
    Mirbeau Inn And Spa
    Skaneateles, NY
  • 09/2013 → 06/2018
    Student
    Auburn, NY
  • 09/2018 → 05/2022
    Student
    Loudonville, NY
  • 05/2021 → 11/2021
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 08/2021 → 11/2021
    Northwestern Mutual Investment Services Llc
    E Syracuse, NY
  • 07/2022 → Present
    Rockefeller Financial Llc
    Saratoga Springs, NY
  • 05/2022 → 07/2022
    Student
    Auburn, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-03-28
  • S66 Uniform Combined State Law Examination
    2023-03-28
Other Names
  • Mitchell William Fanning
  • Mitch William Fanning
  • Mitch Fanning

View on SEC IAPD

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JESSICA SUZANNE NILES
STEPHEN EDWARD KRAKOWER

Other Offices

SARATOGA INVESTMENT SOLUTIONS INC. · SARATOGA SPRINGS, NY
COMMONWEALTH FINANCIAL NETWORK · Saratoga Springs, NY
JANNEY MONTGOMERY SCOTT LLC · SARATOGA SPRINGS, NY
CONTINUUM WEALTH ADVISORS, LLC · SARATOGA SPRINGS, NY
STERLING MANOR FINANCIAL, LLC · SARATOGA SPRINGS, NY
NYE STREET PARTNERS LLC · SARATOGA SPRINGS, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SARATOGA SPRINGS, NY
LPL FINANCIAL LLC · SARATOGA SPRINGS, NY

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