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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2021-04-15 |
Branch Locations
1600 West Loop South, Suite 700, Houston, TX 77027 • United States
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Houston | TX | 06/2015 | 04/2018 |
| Inscription Capital Llc | Houston | TX | 04/2018 | 12/2019 |
| Purshe Kaplan Sterling Investments, Inc | Albany | NY | 04/2018 | 04/2021 |
| Rockefeller Financial Llc | Houston | TX | 04/2021 | Present |
| Inscription Capital Llc | Houston | TX | 01/2020 | 04/2021 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-24 |
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