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Employer firm

Rockefeller Financial LLC CRD 291361

$99.6B regulatory AUM 223 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2024-01-12
TX RA APPROVED 2024-01-12
  • MI RA
    APPROVED
    Since 2024-01-12
  • TX RA
    APPROVED
    Since 2024-01-12

Branch Locations

260 E Brown Street Suite 300, Birmingham, MI 48009 • 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
Modern Woodmen Of America Rock Island IL 04/2020 10/2021
Western Michigan University Kalamazoo MI 08/2019 05/2020
Washtenaw Community College Ann Arbor MI 08/2018 05/2019
Penn State University State College PA 08/2017 08/2018
Ann Arbor Pioneer High School Ann Arbor MI 09/2014 06/2017
Mwa Financial Services Inc Rock Island IL 05/2021 10/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Grand Rapids MI 10/2021 01/2024
Rockefeller Financial Llc Birmingham MI 01/2024 Present
  • 04/2020 → 10/2021
    Modern Woodmen Of America
    Rock Island, IL
  • 08/2019 → 05/2020
    Western Michigan University
    Kalamazoo, MI
  • 08/2018 → 05/2019
    Washtenaw Community College
    Ann Arbor, MI
  • 08/2017 → 08/2018
    Penn State University
    State College, PA
  • 09/2014 → 06/2017
    Ann Arbor Pioneer High School
    Ann Arbor, MI
  • 05/2021 → 10/2021
    Mwa Financial Services Inc
    Rock Island, IL
  • 10/2021 → 01/2024
    Grand Rapids, MI
  • 01/2024 → Present
    Birmingham, MI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-09-04
  • S66 Uniform Combined State Law Examination
    2021-09-04
Other Names
  • Hannah Wei Yao
  • Hannah Kate May

View on SEC IAPD

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