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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 | 2025-10-20 |
| TX | RA | APPROVED | 2025-10-20 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-10-20 |
| TX | RA | APPROVED | 2025-10-20 |
Branch Locations
45 Rockefeller Plaza, Ny, NY 10111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | New York | NY | 08/2019 | 10/2025 |
| Morgan Stanley | New York | NY | 06/2018 | 08/2018 |
| Boston College | Chestnut Hill | MA | 08/2018 | 05/2019 |
| Unemployed | New York | NY | 05/2019 | 08/2019 |
| Boston College | Chestnut Hill | MA | 08/2015 | 06/2018 |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2023 | 10/2025 |
| Rockefeller Financial Llc | Ny | NY | 10/2025 | Present |
| Rockefeller Capital Management | Ny | NY | 10/2025 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-11-19 |
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