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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-10-17 |
| TX | RA | APPROVED | 2025-10-17 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Burbank | CA | 10/2019 | 10/2021 |
| J.P. Morgan Chase Bank, N.A. | Burbank | CA | 10/2019 | 10/2021 |
| Shoepalace | Burbank | CA | 11/2016 | 10/2019 |
| Aldo Shoes | Glendale | CA | 08/2016 | 10/2016 |
| Footlocker | Glendale | CA | 02/2014 | 09/2016 |
| Morgan Stanley Smith Barney Llc | Beverly Hills | CA | 11/2021 | 10/2025 |
| Rockefeller Financial Llc | Los Angeles | CA | 10/2025 | Present |
*466652- JLN SHOES LLC; Investment related -Yes; BURBANK, California; Retail/Online Stores; Partner (proprietor, partner, officer, director, employee, trustee, agent); 01/2021; During business hours: 0; After business hours: 5; Business Development/Growth, Sales/Marketing
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 2020-02-21 |
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