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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-02-20 |
| TX | RA | APPROVED_RES | 2021-02-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | New York | NY | 06/2015 | 10/2016 |
| Princeton Equity Partners | Lewiston | NY | 10/2016 | 02/2018 |
| Independent Financial Group, Llc | Lewiston | NY | 10/2016 | 02/2018 |
| Morgan Stanley | New York | NY | 02/2018 | 02/2020 |
| Rockefeller Financial Llc | New York | NY | 02/2020 | Present |
| Rock & Co Llc | New York | NY | 02/2020 | 10/2023 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-02-27 |
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