Sean Patrick Connolly

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

• 09/2003 → 02/2023
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Winter Park, FL
• 11/2009 → 02/2023
  Bank Of America, N.A.
  Winter Park, FL
• 02/2023 → Present
  Rockefeller Financial Llc
  Winter Park, FL

Previous Registrations

• 2003-10-10 → 2023-02-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Winter Park, FL
  Winter Park, FL
• 2002-11-21 → 2003-11-19
  Global Assets Advisors, Llc
  Orlando, FL

Other Businesses

ST. MARGARET MARY CHURCH, WINTER PARK, FL 32789 - INVESTMENT RLT'D - NO, HRS DEVOTED TO ACTIVITY - 2, HRS DURING TRADING - 0, DATE ACTIVITY BEGAN 01/01/11, POSITION - COMMITTEE MEMBER; CHURCH ADVISORY BOARD. I*505909 For profit or not for profit: Entity For Profit Name of outside business organization: Hyannisport Chocolate Chip Cookies Investment related: N Address of business: Winter Park, Florida, 32792 Nature of business: ["Sole Proprietorship"] Position, title, association: ["Other"], Start date of relationship: 7/5/2021 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: I own the IP, I am licensing my families Cookie recipe to a commercial bakery. WINTER PINES - ADVISORY BOARD - COMMITTEE

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-08-12
• S63 Uniform Securities Agent State Law Examination
  1999-07-22