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Regina Rae Spano

Rockefeller Financial LLC

Hamilton, NJ

CRD 6250864

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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
NJ RA APPROVED 2019-07-09
  • NJ RA
    APPROVED
    Since 2019-07-09

Branch Locations

2445 Kuser Road, Suite 302 Zone A, Hamilton, NJ 08690 • 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
Rockefeller Capital Management Hamilton NJ 09/2018 Present
Merrill Lynch Pennington NJ 09/2013 09/2018
  • 09/2018 → Present
    Rockefeller Capital Management
    Hamilton, NJ
  • 09/2013 → 09/2018
    Merrill Lynch
    Pennington, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-08
  • S66 Uniform Combined State Law Examination
    2019-07-08
Other Names
  • Regina Rae Williams
  • Jeanie Rae Williams
  • Jeanie Rae Slater
  • Jeanie Rae Spano

View on SEC IAPD

Nearby Firms

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ALLSTATE FINANCIAL ADVISORS, LLC
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Nearby Investors

CHRISTA BRUCKNER AHRENS
MARTIN G BYRNE
CHERYL LOUISE ROWAN

Nearby Offices

PNC WEALTH MANAGEMENT LLC · HAMILTON, NJ
ROCKEFELLER FINANCIAL LLC · HAMILTON, NJ
ROCKEFELLER FINANCIAL LLC · HAMILTON, NJ

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