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Cale Leonard Van Buren

Rockefeller Capital Management

Saratoga Springs, NY

Rockefeller Financial LLC

Saratoga Springs, NY

Chicago, IL

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Current Employers
Rockefeller Capital Management

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-07-12
TX RA APPROVED 2022-07-12
  • NY RA
    APPROVED
    Since 2022-07-12
  • TX RA
    APPROVED
    Since 2022-07-12

Branch Locations

321 Broadway, Saratoga Springs, NY 12866 • United States

Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-11-02
TX RA APPROVED_RES 2021-11-02
  • NY RA
    APPROVED
    Since 2021-11-02
  • TX RA
    APPROVED_RES
    Since 2021-11-02

Branch Locations

321 Broadway, Saratoga Springs, NY 12866 • United States

222 West Adams Suite 2450, Chicago, IL 60606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Ayco Company, L.P./Mercer Allied Saratoga Springs NY 04/2006 01/2021
Ayco/Goldman Sachs & Co. Llc Cohoes NY 01/2021 11/2021
Rockefeller & Co. Saratoga Springs NY 11/2021 Present
Rockefeller Financial Llc Saratoga Springs NY 11/2021 Present
  • 04/2006 → 01/2021
    The Ayco Company, L.P./Mercer Allied
    Saratoga Springs, NY
  • 01/2021 → 11/2021
    Ayco/Goldman Sachs & Co. Llc
    Cohoes, NY
  • 11/2021 → Present
    Rockefeller & Co.
    Saratoga Springs, NY
  • 11/2021 → Present
    Rockefeller Financial Llc
    Saratoga Springs, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-10
S63 Uniform Securities Agent State Law Examination 1995-11-21
  • S66 Uniform Combined State Law Examination
    2006-11-10
  • S63 Uniform Securities Agent State Law Examination
    1995-11-21
Other Names
  • Cale Leonard Vanburen

View on SEC IAPD

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SARATOGA INVESTMENT SOLUTIONS INC. · SARATOGA SPRINGS, NY
COMMONWEALTH FINANCIAL NETWORK · Saratoga Springs, NY
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CONTINUUM WEALTH ADVISORS, LLC · SARATOGA SPRINGS, NY
STERLING MANOR FINANCIAL, LLC · SARATOGA SPRINGS, NY
NYE STREET PARTNERS LLC · SARATOGA SPRINGS, NY
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