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John Lubin

Rockefeller Financial LLC

Chicago, IL

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Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-06-24
IL RA APPROVED 2026-06-23
  • TX RA
    APPROVED
    Since 2026-06-24
  • IL RA
    APPROVED
    Since 2026-06-23

Branch Locations

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
Rockefeller Financial Llc Chicago IL 05/2026 Present
Alliancebernstein Chicago IL 02/2024 05/2026
Brown Advisory New York NY 01/2023 02/2024
Appreciate New York NY 03/2022 01/2023
New York University New York NY 09/2018 12/2022
Riverdale Country School New York NY 09/2014 06/2018
  • 05/2026 → Present
    Rockefeller Financial Llc
    Chicago, IL
  • 02/2024 → 05/2026
    Alliancebernstein
    Chicago, IL
  • 01/2023 → 02/2024
    Brown Advisory
    New York, NY
  • 03/2022 → 01/2023
    Appreciate
    New York, NY
  • 09/2018 → 12/2022
    New York University
    New York, NY
  • 09/2014 → 06/2018
    Riverdale Country School
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-06-23
S63 Uniform Securities Agent State Law Examination 2024-06-29
  • S65 Uniform Investment Adviser Law Examination
    2026-06-23
  • S63 Uniform Securities Agent State Law Examination
    2024-06-29

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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