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Sean Kennedy

Rockefeller Capital Management

Ny, NY

Rockefeller Financial LLC

New York, NY

Holbrook, NY

CRD 5755114

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Employer firm

Rockefeller Capital Management CRD 294197

$36.8B regulatory AUM 423 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting

From the firm’s Form ADV. Read the guides:

Current Employers
Rockefeller Capital Management

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-07-30
TX RA APPROVED_RES 2024-08-09
  • NY RA
    APPROVED
    Since 2025-07-30
  • TX RA
    APPROVED_RES
    Since 2024-08-09

Branch Locations

45 Rockefeller Plaza, Floor 5, Ny, NY 10111 • United States

Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-04-13
TX RA APPROVED_RES 2022-04-13
  • NY RA
    APPROVED
    Since 2022-04-13
  • TX RA
    APPROVED_RES
    Since 2022-04-13

Branch Locations

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

Holbrook, NY • 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
Ubs Financial Svcs Florham Park NJ 05/2010 04/2022
Rockefeller Financial Llc Ny NY 04/2022 Present
Rockefeller Capital Management Ny NY 08/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-05-18
  • S66 Uniform Combined State Law Examination
    2012-05-18

View on SEC IAPD

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SURAJIT KUMAR GHOSH
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Nearby Offices

HYPERION CAPITAL ADVISORS LP · NEW YORK, NY
PIVOTAL ADVISORS LLC · NEW YORK, NY
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