Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-09-08 |
| NY | RA | APPROVED | 2022-09-06 |
Branch Locations
321 Broadway, Saratoga Springs, NY 12866 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • USA
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Ayco Company, L.P./Mercer Allied | Latham | NY | 02/2013 | 01/2021 |
| Goldman Sachs & Co. Llc | Latham | NY | 01/2021 | 03/2022 |
| Rockefeller Capital Management | Saratoga | NY | 09/2022 | Present |
| Rockefeller Financial Llc | Saratoga | NY | 09/2022 | Present |
| Unemployed | Ravena | NY | 03/2022 | 09/2022 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-07-15 |
Reach out to this advisor