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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 |
|---|---|---|---|
| TN | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED | 2021-08-20 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED | 2024-02-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Atlanta | GA | 05/2005 | 08/2021 |
| Rockefeller Financial Llc | Nashville | TN | 08/2021 | Present |
| Rockefeller Financial Llc | Nashville | TN | 02/2024 | Present |
1) Bancroft Home Owners Association/ investment related?:no / 43 Bancroft Place, Nashville, Tennessee, 37215/ Treasurer/ start date: 6/7/2021/
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-01-25 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-07 |
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