Laura Nafis Pennington

Employer firm

Rockefeller Financial LLC CRD 291361

$99.6B regulatory AUM 223 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2009 → 01/2020
  Ubs Financial Services Inc
  Washington, DC
• 01/2020 → 10/2023
  Rockefeller Financial Llc
  Washington Dc, DC
• 01/2023 → 03/2023
  Rockefeller Financial Llc
  Arlington, VA
• 04/2023 → Present
  Rockefeller Financial Llc
  Palm Beach Gardens, FL

Previous Registrations

• 2009-02-12 → 2020-02-11
  Ubs Financial Services Inc.
  Washington, DC
• 2007-04-02 → 2009-02-13
  Morgan Stanley & Co. Llc
  Washington, DC
• 2002-03-04 → 2007-04-02
  Morgan Stanley Dw Inc.
  Washington, DC
  Washington, DC

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-07-27
• S63 Uniform Securities Agent State Law Examination
  1991-06-19

Designations

• Certified Financial Planner

Other Names

• Laura Jeanne Nafis