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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2026-06-01 |
| TX | RA | APPROVED_RES | 2026-05-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rockefeller Financial Llc | Ny | NY | 05/2026 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 12/2014 | 02/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 08/2017 | 02/2019 |
| Unemployed | New York | NY | 02/2017 | 08/2017 |
| Morgan Stanley | New York | NY | 02/2019 | 05/2026 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-01-14 |
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