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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2021-10-15 |
Branch Locations
1900 Broadway Street Suite 660, San Antonio, TX 78215 • United States
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch | San Antonio | TX | 05/1998 | 10/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Antonio | TX | 05/1998 | 10/2021 |
| Bank Of America, Na | San Antonio | TX | 09/2009 | 10/2021 |
| Rockefeller Financial Llc | San Antonio | TX | 10/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-08-24 |
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