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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 | 2025-02-14 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-02-14 |
Branch Locations
45 Rockefeller Plaza, 5Th Floor, Ny, NY 10111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Barclays Capital Inc. | New York | NY | 09/2008 | 12/2016 |
| Stifel Nicolaus & Co Inc | New York | NY | 01/2020 | 02/2025 |
| Broadridge Financial | Newark | NJ | 04/2017 | 08/2019 |
| Unemployed - Garden Leave From Barclays | Bridgewater | NJ | 01/2017 | 03/2017 |
| Unemployed | Bridgewater | NJ | 09/2019 | 12/2019 |
| Rockefeller Financial Llc | Ny | NY | 02/2025 | Present |
| Rockefeller Capital Management | Ny | NY | 02/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-02-24 |
| S66 | Uniform Combined State Law Examination | 2016-09-19 |
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