Karleen Madeleine Halliwell

Employer firm

Rockefeller Capital Management CRD 294197

$36.8B regulatory AUM 423 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2013 → 06/2025
  Ubs Financial Services Inc
  Aventura, FL
• 06/2025 → Present
  Rockefeller Financial Llc
  Fort Lauderdale, FL
• 06/2025 → Present
  Rockefeller Capital Management
  Fort Lauderdale, FL

Previous Registrations

• 2013-02-27 → 2025-07-22
  Ubs Financial Services Inc.
  Hallandale Beach, FL
  Nantucket, MA
  Golden Beach, FL
• 2009-06-01 → 2013-03-11
  Morgan Stanley
  Aventura, FL
  Nantucket, MA
• 1997-02-10 → 2009-06-01
  Citigroup Global Markets Inc.
  North Miami Beach, FL
  Aventura, FL
  Aventura, FL
  Nantucket, MA

Other Businesses

1) MIAMI COUNTRY DAY SCHOOL / 601 NE 107TH STREET MIAMI,FL 33161 / OTHER/ EDUCATION / PRIVATE EDUCATION / TRUSTEE / / INVOLVED IN DEVELOPMET AND PLANNED GIVING FOR SCHOOL /Chair of Investment Committee - facilitate quarterly meetings where we will be listening to presentation from Investment manager of school endowment/ 2-3 Hours per month / .5 hours per trading day / START DATE 05/31/2021

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-10-04
• S63 Uniform Securities Agent State Law Examination
  1995-11-22

Other Names

• Karleen Madeleine Ocoin
• Karleen Madeleine Ocoin
• Karleen Madeleine Halliwell
• Karleen M Halliwell