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Thomas Garic Moran

Rockefeller Financial LLC

Atlanta, GA

CRD 7075761

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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
TX RA APPROVED_RES 2021-10-01
GA RA APPROVED 2021-08-30
  • TX RA
    APPROVED_RES
    Since 2021-10-01
  • GA RA
    APPROVED
    Since 2021-08-30

Branch Locations

3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • 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
Ubs Financial Services Inc. Atlanta GA 03/2019 08/2021
Fifth Third Bank Atlanta GA 11/2017 02/2019
Factset Streetaccount Atlanta GA 10/2011 11/2017
Rockefeller Financial Llc Atlanta GA 08/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-03
  • S66 Uniform Combined State Law Examination
    2019-07-03
Other Names
  • Thomas Moran

View on SEC IAPD

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Nearby Offices

LIQUID STRATEGIES, LLC · ATLANTA, GA
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