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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2024-05-24 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
200 W 6Th Street, Suite 2600, Austin, TX 78701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Austin | TX | 04/2009 | 05/2024 |
| Rockefeller Financial Llc | Austin | TX | 05/2024 | Present |
JSKJCM LLC, 9009 Thickwoods Cv, Austin, TX 78735. Investment related. Sole member since October 2022. Personal Real Estate investment. 1 hour per year and zero hours during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-05-08 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-24 |
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