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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2025-12-15 |
| TX | RA | APPROVED | 2025-12-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services, Inc | Weehawken | NJ | 10/2023 | 05/2025 |
| Ubs Financial Services, Inc | New York | NY | 06/2022 | 08/2022 |
| The Dolphin Green & Gold Fund, Llc | Syracuse, Ny | NY | 08/2021 | 05/2022 |
| Northwestern Mutual | East Syracuse, Ny | NY | 06/2021 | 05/2022 |
| Spera's | Cicero | NY | 06/2017 | 06/2021 |
| Cicero-North Syracuse High School | Cicero | NY | 09/2016 | 05/2019 |
| Le Moyne College | Syracuse | NY | 08/2019 | 08/2023 |
| Wells Fargo Clearing Services, Llc | New York | NY | 05/2025 | 12/2025 |
| Rockefeller Financial Llc | Ny | NY | 12/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-03-07 |
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