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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 | 2024-09-04 |
| TX | RA | APPROVED | 2024-09-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | New York | NY | 07/2019 | 09/2024 |
| Washington And Lee University | Lexington | VA | 08/2015 | 05/2019 |
| Wells Fargo Advisors | Austin | TX | 06/2018 | 08/2018 |
| Kingfisher Capital | Charlotte | NC | 07/2017 | 08/2017 |
| Rockefeller Financial Llc | New York | NY | 09/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-09-13 |
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