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Tuan Huu Nguyen

Rockefeller Financial LLC

Florham Park, NJ

Conshohocken, PA

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Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2026-06-02
  • PA RA
    APPROVED
    Since 2026-06-02

Branch Locations

180 Park Ave Suite 203, Florham Park, NJ 07932 • United States

One Tower Bridge, 100 Front Street Suite 1325, Conshohocken, PA 19428 • 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
Jp Morgan Chase New York NY 09/2006 04/2020
Jp Morgan Securities Inc New York NY 10/2006 04/2020
Rockefeller Financial Llc Conshohocken PA 04/2020 Present
Rock & Co Llc Conshohocken PA 04/2020 Present
  • 09/2006 → 04/2020
    Jp Morgan Chase
    New York, NY
  • 10/2006 → 04/2020
    Jp Morgan Securities Inc
    New York, NY
  • 04/2020 → Present
    Rockefeller Financial Llc
    Conshohocken, PA
  • 04/2020 → Present
    Rock & Co Llc
    Conshohocken, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-06-02
S63 Uniform Securities Agent State Law Examination 1994-10-19
  • S65 Uniform Investment Adviser Law Examination
    2026-06-02
  • S63 Uniform Securities Agent State Law Examination
    1994-10-19

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
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