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CRD 2597003
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 | 2025-01-31 |
| TX | RA | APPROVED_RES | 2025-01-31 |
Branch Locations
400 Stony Brook Court Suite 1, Newburgh, NY 12550 • United States
Newburgh, NY • United States
222 West Adams Suite 2450, Chicago, IL 60606 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-01-31 |
| TX | RA | APPROVED_RES | 2025-01-31 |
Branch Locations
400 Stony Brook Court Suite 1, Newburgh, NY 12550 • United States
Newburgh, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 05/2009 | 08/2023 |
| Janney Montgomery Scott Llc | Albany | NY | 08/2023 | 01/2025 |
| Rockefeller Financial Llc | Saratoga Springs | NY | 01/2025 | 10/2025 |
| Rockefeller Capital Management | Saratoga Springs | NY | 01/2025 | 10/2025 |
| Rockefeller Financial Llc | Newburgh | NY | 10/2025 | Present |
| Rockefeller Capital Management | Newburgh | NY | 10/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2001-11-14 |
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