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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2026-05-11 |
| TX | RA | APPROVED_RES | 2026-05-11 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 09/2016 | 05/2026 |
| Rockefeller Financial Llc | New York | NY | 05/2026 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 09/1997 | 09/2016 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-12-04 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-07 |
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