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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2023-02-28 |
| TX | RA | APPROVED_RES | 2023-02-22 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Viera | FL | 03/1984 | 02/2023 |
| Bank Of America, N.A. | Viera | FL | 12/2009 | 02/2023 |
| Rockefeller Financial Llc | Melbourne | FL | 02/2023 | 11/2024 |
| Rockefeller Financial Llc | Melbourne | FL | 11/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-04-10 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-04 |
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