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Ashley Marie Gegenwarth

Rockefeller Financial LLC

Naples, FL

Atlanta, GA

CRD 6278040

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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
FL RA APPROVED 2026-05-18
TX RA APPROVED 2026-05-15
  • FL RA
    APPROVED
    Since 2026-05-18
  • TX RA
    APPROVED
    Since 2026-05-15

Branch Locations

4851 Tamiami Trail North Suite 200, Naples, FL 34103 • United States

3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • 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
Raymond James & Associates, Inc. Naples FL 12/2013 12/2016
Morgan Stanley Naples FL 12/2016 05/2026
Rockefeller Financial Llc Naples FL 05/2026 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-02-21
  • S66 Uniform Combined State Law Examination
    2015-02-21

View on SEC IAPD

Nearby Firms

TRUIST ADVISORY SERVICES, INC.
WELLS FARGO CLEARING SERVICES, LLC
J.P. MORGAN SECURITIES LLC

Nearby Investors

JENNIFER ERNA MCMANUS
RUDINA RUCI
SALWA AMEEN

Nearby Offices

TRUIST ADVISORY SERVICES, INC. · NAPLES, FL
TRUIST ADVISORY SERVICES, INC. · NAPLES, FL
WELLS FARGO CLEARING SERVICES, LLC · NAPLES, FL

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