Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 | 2025-07-17 |
| TX | RA | APPROVED_RES | 2025-07-17 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-07-17 |
| TX | RA | APPROVED_RES | 2025-07-17 |
Branch Locations
45 Rockefeller Plaza, Floor 5, New York, NY 10111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services, Inc. | Weehawken | NJ | 08/2020 | 07/2025 |
| Lululemon Athletica | New York | NY | 05/2018 | 07/2018 |
| Ubs Financial Services Inc. | New York | NY | 06/2019 | 08/2019 |
| Bucknell University | Lewisburg | PA | 08/2016 | 05/2020 |
| Rockefeller Capital Management | New York | NY | 07/2025 | Present |
| Rockefeller Financial Llc | New York | NY | 07/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-09-10 |
Reach out to this advisor