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Brian Stephen Ferraro

Rockefeller Financial LLC

Saratoga Springs, NY

Boston, MA

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Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2021-06-16
NY RA APPROVED 2021-05-26
  • MA RA
    APPROVED
    Since 2021-06-16
  • NY RA
    APPROVED
    Since 2021-05-26

Branch Locations

321 Broadway, Saratoga Springs, NY 12866 • United States

115 Federal St, Floor 23, Boston, MA 02110 • 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
Rockefeller & Co Boston MA 01/2020 Present
Rockefeller Financial Llc Boston MA 05/2021 Present
Pwc Boston MA 10/2013 12/2019
  • 01/2020 → Present
    Rockefeller & Co
    Boston, MA
  • 05/2021 → Present
    Rockefeller Financial Llc
    Boston, MA
  • 10/2013 → 12/2019
    Pwc
    Boston, MA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2022-03-18
  • S63 Uniform Securities Agent State Law Examination
    2022-03-18
Designations
Other Names
  • Brian Steven Ferraro

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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