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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2026-07-27 |
| NY | RA | APPROVED | 2026-07-20 |
| TX | RA | APPROVED | 2026-07-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 06/2019 | 05/2025 |
| Elon University | Elon | NC | 08/2015 | 05/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 06/2018 | 08/2018 |
| Alamance Country Club | Burlington | NC | 03/2019 | 05/2019 |
| Morgan Stanley Smith Barney Llc | New York | NY | 05/2025 | 07/2026 |
| Morgan Stanley Private Bank, N.A | New York | NY | 06/2025 | 07/2026 |
| Rockefeller Financial Llc | New York | NY | 07/2026 | Present |
*647632 - Seton Hall Preparatory School Alumni Association; Investment Related - No; West Orange, New Jersey; Education; Board Member (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 01/2001; During Business Hours: 0; After Business Hours: 1; Administrative
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-03-06 |
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