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Michael C Amato

Rockefeller Capital Management

Paramus, NJ

Rockefeller Financial LLC

Paramus, NJ

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Current Employers
Rockefeller Capital Management

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-02-22
TX RA APPROVED 2024-02-21
  • NJ RA
    APPROVED
    Since 2024-02-22
  • TX RA
    APPROVED
    Since 2024-02-21

Branch Locations

115 West Century Road, Paramus, NJ 07652 • United States

Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-05-14
NJ RA APPROVED 2020-10-16
  • TX RA
    APPROVED
    Since 2021-05-14
  • NJ RA
    APPROVED
    Since 2020-10-16

Branch Locations

115 West Century Road, Paramus, NJ 07652 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated St. Louis MO 12/2015 05/2020
Rockefeller Financial Llc New York NY 05/2020 12/2020
Rock & Co Llc New York NY 05/2020 12/2020
Rockefeller Financial Llc Paramus NJ 12/2020 Present
Rockefeller Capital Management Paramus NJ 02/2024 Present
Previous Registrations
  • 2015-12-04 → 2020-05-26
    Stifel, Nicolaus & Company, Incorporated
    New York, NY
    St. Louis, MO
  • 2009-01-21 → 2015-12-04
    Barclays Capital Inc.
    New York, NY
    New York, NY
  • 2006-03-24 → 2008-10-15
    Lehman Brothers Inc.
    New York, NY
    New York, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-23
S63 Uniform Securities Agent State Law Examination 1991-02-08
  • S65 Uniform Investment Adviser Law Examination
    2006-03-23
  • S63 Uniform Securities Agent State Law Examination
    1991-02-08
Designations
Other Names
  • Michael Amato

View on SEC IAPD

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