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Stephen P Schwab

Rockefeller Financial LLC

New York, NY

CRD 7085386

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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
NY RA APPROVED 2024-09-04
TX RA APPROVED 2024-09-04
  • NY RA
    APPROVED
    Since 2024-09-04
  • TX RA
    APPROVED
    Since 2024-09-04

Branch Locations

45 Rockefeller Plaza, New York, NY 10111 • 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
Morgan Stanley New York NY 12/2020 09/2024
Elon University Elon NC 06/2016 05/2020
Northwestern Mutual Morristown NJ 05/2019 08/2019
The Oak House Elon NC 09/2019 05/2020
Unemployed Wyckoff NJ 05/2020 12/2020
Rockefeller Financial Llc New York NY 09/2024 Present
  • 12/2020 → 09/2024
    Morgan Stanley
    New York, NY
  • 06/2016 → 05/2020
    Elon University
    Elon, NC
  • 05/2019 → 08/2019
    Northwestern Mutual
    Morristown, NJ
  • 09/2019 → 05/2020
    The Oak House
    Elon, NC
  • 05/2020 → 12/2020
    Unemployed
    Wyckoff, NJ
  • 09/2024 → Present
    Rockefeller Financial Llc
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-03-29
  • S66 Uniform Combined State Law Examination
    2021-03-29
Other Names
  • Stephen Schwab

View on SEC IAPD

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