Best Investors
Account
Sign in
Best Investors
Account
Sign in
Rockefeller Capital Management CRD 294197
$36.8B regulatory AUM 423 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 | 2024-10-03 |
| TX | RA | APPROVED | 2024-08-09 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-03-22 |
| TX | RA | APPROVED | 2021-02-01 |
Branch Locations
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. | Plano | TX | 03/2016 | 09/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Dallas | TX | 09/2017 | 03/2020 |
| Rockefeller Financial Llc | Saratoga Springs | NY | 03/2020 | 01/2022 |
| Rock & Co Llc | Saratoga Springs | NY | 03/2020 | 01/2022 |
| Rockefeller Financial Llc | Houston | TX | 01/2022 | 09/2024 |
| Rockefeller Capital Management | Houston | TX | 08/2024 | 09/2024 |
| Rockefeller Financial Llc | Angola | NY | 09/2024 | Present |
| Rockefeller Capital Management | Angola | NY | 09/2024 | Present |
Rental property - owner - Angola, NY 14006 - no hours devoted during business hours - maintain property - upkeep and taxes
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-29 |
Reach out to this advisor