Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 | 2025-03-31 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Dallas | TX | 06/1997 | 03/2025 |
| Rockefeller Financial Llc | Dallas | TX | 03/2025 | Present |
| Rockefeller Capital Management | Dallas | TX | 03/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-19 |
Reach out to this advisor