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Stephen Arthur Randolph

Rockefeller Financial LLC

Carmel, IN

Chicago, IL

CRD 6753011

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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:

Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-10-31
IN RA APPROVED 2021-10-14
  • TX RA
    APPROVED_RES
    Since 2025-10-31
  • IN RA
    APPROVED
    Since 2021-10-14

Branch Locations

4 Carter Green, Suite 100, Carmel, IN 46032 • United States

222 West Adams Suite 2450, Chicago, IL 60606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Indianapolis IN 02/2017 10/2021
Active Wellness Llc Minneapolis MN 05/2012 12/2016
Bank Of America, Na Indianapolis IN 07/2017 10/2021
Rockefeller Financial Llc Indianapolis IN 10/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-12
  • S66 Uniform Combined State Law Examination
    2017-05-12
Other Names
  • Stephen Arthur Gaustad-Randolph
  • Stephen Randolph
  • Stephen Arthur Randolph
  • Stephen A Randolph

View on SEC IAPD

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