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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2026-04-08 |
| TX | RA | APPROVED | 2026-04-06 |
Branch Locations
115 West Century Road, Paramus, NJ 07652 • United States
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Asset Management Inc. | New York | NY | 07/2020 | 02/2026 |
| Rockefeller Financial Llc | Paramus | NJ | 03/2026 | Present |
| Ubs Financial Services | New York | NY | 06/2003 | 07/2020 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-05-08 |
| S63 | Uniform Securities Agent State Law Examination | 1993-10-11 |
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