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 |
|---|---|---|---|
| NY | RA | APPROVED | 2023-04-19 |
| TX | RA | APPROVED | 2023-04-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 01/2015 | 01/2017 |
| First Republic Investment Management, Inc. | New York | NY | 01/2017 | 04/2023 |
| First Republic Securities Company, Llc | New York | NY | 01/2017 | 04/2023 |
| Rockefeller Financial Llc | Ny | NY | 04/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-06-06 |
Reach out to this advisor