Steven Coleman

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2014 → 04/2025
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 12/2014 → 04/2025
  Bank Of America N.A.
  Chicago, IL
• 04/2025 → 07/2026
  Rockefeller Financial Llc
  Chicago, IL
• 04/2025 → 07/2026
  Rockefeller Capital Management
  Chicago, IL
• 08/2026 → Present
  Rockefeller Capital Management
  Crystal Lake, IL
• 08/2026 → Present
  Rockefeller Financial Llc
  Crystal Lake, IL

Previous Registrations

• 2014-10-10 → 2025-04-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
  Long Grove, IL
  Dearborn, MI
  Buffalo Grove, IL
  Kildeer, IL
• 2003-11-14 → 2014-10-20
  Ubs Financial Services Inc.
  Oakbrook Terrac, IL
  Weehawken, NJ
  Chicago, IL
  Chicago, IL
• 2003-04-15 → 2003-11-21
  Oppenheimer Asset Management
  New York, NY
• 2003-01-03 → 2003-04-15
  Oppenheimer & Co. Inc.
  Chicago, IL
• 2000-12-19 → 2003-01-03
  Cibc World Markets Corp.
  Chicago , IL

Other Businesses

I*107478 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CB INVESTMENTS LLC INVESTMENT RELATED: Y ADDRESS OF BUSINESS: LONG GROVE, ILLINOIS 60047 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 7/6/2017 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: FAMILY LLC SET UP FOR ESTATE PLANNING PURPOSES FOR WHICH MY WIFE AND I ARE THE ONLY MEMBERS. I AM THE MANAGING MEMBER AND RESPONSIBILITIES PRIMARILY OF AN INVESTMENT AND ADMINISTRATIVE NATURE I*1415263 For profit or not for profit: Name of outside business organization: Westbury of Kildeer Homeowners Association Investment related: N Address of business: Elgin, Illinois, 60047, United States Nature of business: ["HOA, Co-op, Freehold"] Position, title, association: ["Board Member"], Start date of relationship: 8/10/2023 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Home improvements approvals, community maintenance(e.g. mosquito abatement, street upkeep, landscape and snow removal contracts, etc.)

Exams

• S66 Uniform Combined State Law Examination
  1999-03-15