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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2024-11-06 |
| TX | RA | APPROVED | 2024-11-05 |
| NY | RA | APPROVED | 2022-07-14 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-11-06 |
| NY | RA | APPROVED | 2024-02-20 |
| TX | RA | APPROVED | 2024-02-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | New York | NY | 08/2011 | 12/2018 |
| Rbc Capital Markets, Llc. | New York | NY | 07/2019 | 07/2022 |
| Self-Employed | New York | NY | 01/2019 | 06/2019 |
| City National Bank | New York | NY | 11/2019 | 07/2022 |
| Rockefeller Financial Llc | Ny | NY | 07/2022 | 10/2024 |
| Rockefeller Capital Management | Ny | NY | 02/2024 | 10/2024 |
| Rockefeller Financial Llc | Santa Monica | CA | 11/2024 | Present |
| Rockefeller Capital Management | Santa Monica | CA | 11/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-08-23 |
| S63 | Uniform Securities Agent State Law Examination | 2011-09-30 |
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