Wayne Robert Gelineau

Employer firm

Rockefeller Financial LLC CRD 291361

$99.6B regulatory AUM 223 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 10/2009 → 02/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA
• 02/2020 → Present
  Rockefeller Financial Llc
  Los Angeles, CA

Previous Registrations

• 2009-10-23 → 2020-03-02
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA
  Santa Monica, CA
• 2008-04-16 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Los Angeles, CA
• 2007-08-15 → 2008-03-27
  Lpl Financial Llc
  Santa Monica, CA
• 2003-07-30 → 2006-12-20
  Td Ameritrade, Inc.
  Beverly Hills, CA
  Beverly Hills, CA
• 2006-04-25 → 2006-12-20
  Td Ameritrade Investment Management, Llc
  Beverly Hills, CA

Other Businesses

I*12547 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SUNSET MUSIC INVESTMENT RELATED: N ADDRESS OF BUSINESS: LOS ANGELES, CALIFORNIA 90046 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/13/2009 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RECORD ORIGINAL MUSIC AND OFFER FOR SALE ON ITUNES AND OTHER INTERNET MUSIC OUTLETS.

Exams

• S66 Uniform Combined State Law Examination
  2003-07-14
• S63 Uniform Securities Agent State Law Examination
  1995-04-13