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Lynda Ann Tormey

Rockefeller Financial LLC

New York, NY

Rockefeller Capital Management

Ny, NY

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Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-02-25
TX RA APPROVED 2025-02-25
  • NY RA
    APPROVED
    Since 2025-02-25
  • TX RA
    APPROVED
    Since 2025-02-25

Branch Locations

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

Rockefeller Capital Management

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-02-25
TX RA APPROVED 2025-02-25
  • NY RA
    APPROVED
    Since 2025-02-25
  • TX RA
    APPROVED
    Since 2025-02-25

Branch Locations

45 Rockefeller Plaza, 5Th Floor, Ny, NY 10111 • 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
Stifel, Nicolaus & Company, Incorporated St. Louis MO 12/2015 02/2025
Rockefeller Financial Llc Ny NY 02/2025 Present
Rockefeller Capital Management Ny NY 02/2025 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-06-10
S63 Uniform Securities Agent State Law Examination 1999-10-25
  • S65 Uniform Investment Adviser Law Examination
    2014-06-10
  • S63 Uniform Securities Agent State Law Examination
    1999-10-25

View on SEC IAPD

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