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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-23 |
| OH | RA | APPROVED | 2019-11-22 |
Branch Locations
222 West Adams Suite 2450, Chicago, IL 60606 • United States
28601 Chagrin Blvd, Suite 525, Woodmere, OH 44122 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Pepper Pike | OH | 06/2014 | 11/2019 |
| Rockefeller Financial Llc | Beachwood | OH | 11/2019 | 10/2022 |
| Rockefeller Financial Llc | Woodmere | OH | 11/2022 | 07/2023 |
| Rockefeller Financial Llc | University Heights | OH | 08/2023 | 09/2023 |
| Rockefeller Financial Llc | Woodmere | OH | 09/2023 | Present |
| Rockefeller Capital Management | Woodmere | OH | 04/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 2011-04-01 |
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