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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2022-06-13 |
| AZ | RA | APPROVED | 2022-05-05 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
Max At Kierland 16220 North Scottsdale Road, Scottsdale, AZ 85254 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Paternity Leave | Phoenix | AZ | 06/2016 | 10/2016 |
| J.P. Morgan Chase | Phoenix | AZ | 10/2016 | 03/2017 |
| Morgan Stanley | Phoenix | AZ | 03/2017 | 01/2022 |
| Morgan Stanley Private Bank, National Association | New York | NY | 03/2017 | 01/2022 |
| Bank Of The West | Tempe | AZ | 03/2022 | 04/2022 |
| Bancwest Investment Services, Inc | Tempe | AZ | 03/2022 | 04/2022 |
| Rockefeller Financial Llc | Scottsdale | AZ | 04/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-11-12 |
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