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Brian J Mulligan

Rockefeller Financial LLC

Atlanta, GA

New York, NY

CRD 7166361

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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
GA RA APPROVED 2022-11-16
  • GA RA
    APPROVED
    Since 2022-11-16

Branch Locations

3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States

45 Rockefeller Plaza Floor 5, New York, NY 10111 • USA

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
I Hc Securiity Greenvill SC 12/2017 03/2018
Cut Above Enterprises Taylors SC 05/2018 11/2018
New Day Smart Home Solutions Greenvill SC 03/2018 05/2018
Rockefeller Financial Llc Atlanta GA 12/2018 08/2025
Student/Child Greenvill SC 01/2008 11/2017
Rockefeller Financial Llc Stone Mountain GA 08/2025 07/2026
Rockefeller Financial Llc Atlanta GA 08/2026 Present
  • 12/2017 → 03/2018
    I Hc Securiity
    Greenvill, SC
  • 05/2018 → 11/2018
    Cut Above Enterprises
    Taylors, SC
  • 03/2018 → 05/2018
    New Day Smart Home Solutions
    Greenvill, SC
  • 12/2018 → 08/2025
    Rockefeller Financial Llc
    Atlanta, GA
  • 01/2008 → 11/2017
    Student/Child
    Greenvill, SC
  • 08/2025 → 07/2026
    Rockefeller Financial Llc
    Stone Mountain, GA
  • 08/2026 → Present
    Rockefeller Financial Llc
    Atlanta, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-11-14
  • S66 Uniform Combined State Law Examination
    2022-11-14
Other Names
  • Brian M Mulligan

View on SEC IAPD

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