Best Investors Account Sign in

Lisa Beth Tarshis

Rockefeller Financial LLC

Atlanta, GA

Boca Raton, FL

CRD 2726340

Claim This Profile
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:

Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-01-21
TX RA APPROVED 2021-01-15
  • FL RA
    APPROVED
    Since 2021-01-21
  • TX RA
    APPROVED
    Since 2021-01-15

Branch Locations

3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States

5355 Town Center Rd Floor 6, Boca Raton, FL 33486 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boca Raton FL 06/1995 01/2021
Rockefeller Finacial Llc Boca Raton FL 01/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-06-15
  • S66 Uniform Combined State Law Examination
    2012-06-15
Other Names
  • Lisa B Tarshis

View on SEC IAPD

Nearby Firms

LIQUID STRATEGIES, LLC
HB WEALTH
BISON WEALTH, LLC

Nearby Investors

PARIMAL H PATEL
CLAYTON SHAWN GIBSON
FRANK THOMAS WATERSON

Nearby Offices

LIQUID STRATEGIES, LLC · ATLANTA, GA
HB WEALTH · ATLANTA, GA
BISON WEALTH, LLC · ATLANTA, GA

More in Atlanta, GA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor