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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 | 2021-03-15 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
1900 Broadway Street Suite 660, San Antonio, TX 78215 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Antonio | TX | 06/1995 | 03/2021 |
| Bank Of America, N.A. | San Antonio | TX | 07/2011 | 03/2021 |
| Rockefeller Financial Llc | San Antonio | TX | 03/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-04 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-26 |
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