Best Investors
Account
Sign in
Best Investors
Account
Sign in
Rockefeller Capital Management CRD 294197
$36.8B regulatory AUM 423 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 |
|---|---|---|---|
| NY | RA | APPROVED | 2024-02-20 |
| TX | RA | APPROVED_RES | 2024-02-20 |
Branch Locations
45 Rockefeller Plaza, 5Th Floor, Ny, NY 10111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-07-15 |
| TX | RA | APPROVED_RES | 2022-07-14 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | New York | NY | 03/2008 | 07/2022 |
| City National Bank | New York | NY | 10/2018 | 07/2022 |
| Rockefeller Financial Llc | Ny | NY | 07/2022 | Present |
| Rockefeller Capital Management | Ny | NY | 02/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-05 |
| S63 | Uniform Securities Agent State Law Examination | 1981-01-21 |
Reach out to this advisor