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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2023-06-23 |
| TX | RA | APPROVED | 2023-06-16 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
1100 Orange Ave Floor 2, Winter Park, FL 32789 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rockefeller Financial Llc | Winter Park | FL | 06/2023 | Present |
| Truist Advisory Services, Inc. | Winter Park | FL | 09/2016 | 06/2023 |
| Truist Investment Services, Inc. | Winter Park | FL | 10/2015 | 06/2023 |
| Suntrust Investment Services, Inc | Atlanta | GA | 04/2006 | 06/2023 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-24 |
| S63 | Uniform Securities Agent State Law Examination | 1996-02-23 |
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