Stacey L Specht

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

• 10/2014 → 04/2025
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 04/2025 → Present
  Rockefeller Financial Llc
  Chicago, IL
• 04/2025 → Present
  Rockefeller Capital Management
  Chicago, IL

Previous Registrations

• 2025-04-17 → 2025-11-06
  Rockefeller Capital Management
  Chicago, IL
• 2014-10-10 → 2025-04-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
  Lockport, IL
• 2008-10-20 → 2014-10-20
  Ubs Financial Services Inc.
  Oakbrook Terrace, IL
  Weehawken, NJ
  Oakbrook Terrace, IL

Exams

• S66 Uniform Combined State Law Examination
  2008-10-17
• S63 Uniform Securities Agent State Law Examination
  1991-11-07

Other Names

• Stacey Laurel Betten
• Stacey Laurel Specht