Best Investors
Account
Sign in
Best Investors
Account
Sign in
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_RES | 2023-03-23 |
| UT | RA | APPROVED | 2019-05-31 |
Branch Locations
2603 East Parleys Way, Salt Lake City, UT 84109 • United States
45 Rockefeller Plaza, New York, NY 10111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hightower Securities, Llc | Salt Lake City | UT | 05/2013 | 09/2018 |
| Axiom Capital Management Inc. | New York | NY | 09/2018 | 10/2019 |
| Rockefeller Financial Llc | Salt Lake City | UT | 10/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-11-20 |
Reach out to this advisor