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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-04-22 |
| FL | RA | APPROVED | 2025-01-29 |
| NY | RA | APPROVED | 2022-09-28 |
| CT | RA | APPROVED | 2022-09-13 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
5355 Town Center Rd Floor 6, Boca Raton, FL 33486 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc. | Greenwich | CT | 03/2004 | 09/2016 |
| Raymond James & Associates, Inc. | Greenwich | CT | 09/2016 | 08/2022 |
| Rockefeller Financial Llc | Stamford | CT | 08/2022 | 12/2024 |
| Rockefeller Financial Llc | New City | NY | 01/2025 | 01/2025 |
| Rockefeller Financial Llc | Boca Raton | FL | 01/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-11 |
Reach out to this advisor