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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 | 2026-03-17 |
| CA | RA | APPROVED | 2023-08-11 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
Two Embarcadero Center Suite 2320, San Francisco, CA 94111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-02-22 |
| TX | RA | APPROVED | 2024-02-22 |
Branch Locations
Two Embarcadero Center Suite 2320, San Francisco, CA 94111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 08/2014 | 08/2023 |
| Rockefeller Financial Llc | San Francisoc | CA | 08/2023 | Present |
| Rockefeller Capital Management | San Francisco | CA | 02/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2010-10-19 |
| S65 | Uniform Investment Adviser Law Examination | 2007-02-27 |
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