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Lawrence Larose

Rockefeller Financial LLC

Saratoga Springs, NY

Chicago, IL

CRD 5866597

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Employer firm

Rockefeller Financial LLC CRD 291361

$99.6B regulatory AUM 223 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

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

Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-05-03
NY RA APPROVED 2022-11-07
  • TX RA
    APPROVED_RES
    Since 2023-05-03
  • NY RA
    APPROVED
    Since 2022-11-07

Branch Locations

321 Broadway, Saratoga Springs, NY 12866 • United States

222 West Adams Suite 2450, Chicago, IL 60606 • 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
The Ayco Company, L.P./Mercer Allied Latham NY 11/2009 01/2021
Goldman Sachs & Co. Llc Latham NY 01/2021 10/2022
Rockefeller Capital Management Saratoga NY 11/2022 Present
Rockefeller Financial Lllc Saratoga NY 11/2022 Present
  • 11/2009 → 01/2021
    The Ayco Company, L.P./Mercer Allied
    Latham, NY
  • 01/2021 → 10/2022
    Goldman Sachs & Co. Llc
    Latham, NY
  • 11/2022 → Present
    Rockefeller Capital Management
    Saratoga, NY
  • 11/2022 → Present
    Rockefeller Financial Lllc
    Saratoga, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-06-25
  • S66 Uniform Combined State Law Examination
    2011-06-25
Other Names
  • Larry Larose
  • Lawrence Richard Larose

View on SEC IAPD

Nearby Firms

SARATOGA INVESTMENT SOLUTIONS INC.
COMMONWEALTH FINANCIAL NETWORK
JANNEY MONTGOMERY SCOTT LLC

Nearby Investors

CYNTHIA ELIZABETH ZALEWSKY
BONNIE MARIE BOYCE
JEFFREY CHARLES VAHANIAN

Nearby Offices

SARATOGA INVESTMENT SOLUTIONS INC. · SARATOGA SPRINGS, NY
COMMONWEALTH FINANCIAL NETWORK · Saratoga Springs, NY
JANNEY MONTGOMERY SCOTT LLC · SARATOGA SPRINGS, NY

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