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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 | 2025-07-17 |
| TX | RA | APPROVED_RES | 2025-07-17 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-07-17 |
| TX | RA | APPROVED_RES | 2025-07-17 |
Branch Locations
45 Rockefeller Plaza 5Th Floor, Ny, NY 10111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 05/2000 | 07/2025 |
| Rockefeller Financial Llc | Ny | NY | 07/2025 | Present |
| Rockefeller Capital Management | Ny | NY | 07/2025 | Present |
NOTARY PUBLIC STATE OF NEW YORK / 61 OLIVER STREET APT 5W BROOKLYN,NY 11209 / NO/ PRIVATELY HELD / USD / NO / NO / / START DATE 5/1/01 /
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-07-03 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-24 |
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