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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2020-01-21 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Atlanta | GA | 06/2009 | 01/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 01/2020 |
| Rockefeller Financial Llc | Atlanta | GA | 01/2020 | Present |
Mr. Kennedy is a licensed insurance agent with RCM Insurance Svces LLC, an affiliate of the firm. Mr. Kennedy is a Board member of the Cherokee Town and Country Club. He does not act in any investment capacity. This affiliation began on May 1, 2018. It is not for profit, not compensated, and not investment related. Mr. Kennedy has been Trustee to the Georgia State Golf Association Foundation since July 2010. This is a not for profit entity, he is not compensated, and it is not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-04-22 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-04 |
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