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NELSON FREDERICK FARO
NELSON F FARO
CRD#: 1247444
IA
Investment Adviser
B
Broker
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 One Town Center Road
Suite 500
Boca Raton, FL 33486
Registration History
1985199019952000200520102015202020252 FIRMS1994 - 2009 (14 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2021 (11 years)2 FIRMS2021 - Present (4 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1984 - 1994 (10 years)
Disclosure(s)
View By:
7/9/2010
Customer Dispute
Denied
6/30/2009
Customer Dispute
Denied
4/17/2002
Customer Dispute
Denied
10/21/1993
Customer Dispute
Settled
10/21/1993
Customer Dispute
Settled
6/18/1993
Customer Dispute
Settled
3/27/1992
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 1/25/2021

B
New Hampshire 1/15/2021

B
Arizona 1/15/2021

B
New Jersey 1/15/2021

B
Arkansas 3/23/2023

B
New Mexico 1/15/2021

B
California 1/15/2021

B
New York 1/15/2021

B
Colorado 1/15/2021

B
North Carolina 1/15/2021

B
Connecticut 1/15/2021

B
Ohio 1/15/2021

B
Delaware 1/26/2021

B
Oregon 1/21/2021

B
District of Columbia 1/15/2021

B
Pennsylvania 1/28/2021

B
Florida 1/15/2021

B
Puerto Rico 1/15/2021

IA
Florida 1/25/2021

B
Rhode Island 1/15/2021

B
Georgia 1/22/2021

B
South Carolina 2/1/2021

B
Hawaii 1/27/2021

B
South Dakota 1/15/2021

B
Idaho 1/22/2021

B
Tennessee 1/15/2021

B
Illinois 4/19/2021

B
Texas 1/15/2021

B
Indiana 1/25/2021

IA
Texas 1/15/2021

B
Louisiana 1/15/2021

B
Utah 1/20/2021

B
Maine 1/15/2021

B
Vermont 1/26/2021

B
Maryland 1/15/2021

B
Virgin Islands 1/15/2021

B
Massachusetts 1/21/2021

B
Virginia 1/29/2021

B
Michigan 1/15/2021

B
Washington 1/26/2021

B
Minnesota 1/26/2021

B
West Virginia 1/15/2021

B
Mississippi 1/26/2021

B
Wisconsin 1/15/2021

B
Montana 1/15/2021

B
Wyoming 1/15/2021

B
Nevada 2/3/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ROCKEFELLER CAPITAL MANAGEMENT (CRD#:291361)
One Town Center Road Suite 500, Boca Raton, FL 33486
1031 Ridge Drive, Linville, NC 28646
Registered with this firm since 1/15/2021

B
ROCKEFELLER FINANCIAL LLC (CRD#:291361)
One Town Center Road Suite 500, Boca Raton, FL 33486
1031 Ridge Drive, Linville, NC 28646
Registered with this firm since 1/15/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 01/19/2021 MORGAN STANLEY (CRD#:149777) AVENTURA, FL
B
06/01/2009 - 01/19/2021 MORGAN STANLEY (CRD#:149777) AVENTURA, FL
IA
01/16/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) AVENTURA, FL
B
01/16/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) AVENTURA, FL
IA
06/16/1994 - 01/27/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) AVENTURA, FL
B
06/10/1994 - 01/27/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) AVENTURA, FL
B
03/22/1984 - 06/30/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.