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 | 2023-12-08 |
| CO | RA | APPROVED | 2023-12-04 |
Branch Locations
222 West Adams Suite 2450, Chicago, IL 60606 • United States
100 Fillmore St., Suite 600, Denver, CO 80206 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pure Kitchen | Frisco | CO | 06/2021 | 08/2021 |
| Lucia Ristorante | New Milford | CT | 06/2019 | 08/2019 |
| Victoria's Secret | Danbury | CT | 12/2018 | 01/2019 |
| Unemployed | New Milford | CT | 09/2016 | 11/2018 |
| Td Ameritrade | Denver | CO | 01/2022 | 09/2022 |
| Unemployed | New Milford | CT | 07/2021 | 01/2022 |
| Unemployed | New Milford | CT | 08/2019 | 06/2021 |
| Unemployed | New Milford | CT | 01/2019 | 06/2019 |
| Charles Schwab & Co., Inc. | Denver | CO | 09/2022 | 09/2023 |
| Charles Schwab Bank, Ssb | Denver | CO | 09/2022 | 09/2023 |
| Rockefeller Financial Llc | Lakewood | CO | 12/2023 | 09/2024 |
| Rockefeller Financial Llc | Denver | CO | 09/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-08-10 |
Reach out to this advisor