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Rockefeller Capital Management CRD 294197
$36.8B regulatory AUM 423 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 |
|---|---|---|---|
| CO | RA | APPROVED | 2024-08-09 |
| TX | RA | APPROVED | 2024-08-09 |
Branch Locations
Elizabeth, CO • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-04-12 |
| TX | RA | APPROVED_RES | 2023-04-12 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
Elizabeth, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc | Lone Tree | CO | 05/2013 | 04/2023 |
| Rockefeller Financial Llc | Elizabeth | CO | 04/2023 | Present |
| Rockefeller Capital Management | Elizabeth | CO | 08/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-11-04 |
| S63 | Uniform Securities Agent State Law Examination | 2013-09-25 |
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