Sean Robert Smith

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2018 → 07/2026
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pennington, NJ
• 10/2012 → 01/2018
  Red Light Management
  New York, NY
• 07/2026 → Present
  Rockefeller Financial Llc
  Hamilton, NJ
• 07/2026 → Present
  Rockefeller Trust N.A.
  Hamilton, NJ

Previous Registrations

• 2020-01-03 → 2026-07-20
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pennington, NJ
  Pennington, NJ
  New York, NY
  Atlanta, GA

Other Businesses

I*2034295, Entity Type, Name of OBA: Genesis Educational Service Address: Jamesburg, NJ 08831 Investment Related: No Position, Title, Association: Consultant/Independent Contractor Employee Start Date: 11/01/2024 No Hours: 8 No Hours during trading: 0 Duties: I am being asked to provide consulting services for my family's business. My father recently passed away and there is a need for assistance for some general business related items with company. I will be working on a consulting basis with Genesis to be engaged to handling matters related to corporates strategy and employment/staffing/operations for day to day business matters. This is would be outside business hours and primarily during weekends.

Exams

• S66 Uniform Combined State Law Examination
  2019-12-23

Other Names

• Sean Smith