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Detailed Report
MICHAEL LAWRENCE SIDEN
MICHAEL L SIDEN, MICHAEL L. SIDEN
CRD#: 1943981
IA
Investment Adviser
B
Broker
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 One Town Center Road
Suite 500
Boca Raton, FL 33486
Registration History
199019952000200520102015202020252 FIRMS1996 - 2008 (12 years)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2019 (10 years)2 FIRMS2019 - Present (5 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1996 (2 years)BLEHMAN BROTHERS INC. (CRD# 7506)1992 - 1993 (1 year)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1989 - 1992 (2 years)
Disclosure(s)
View By:
10/19/2012
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 9/19/2019
B
Nevada 8/30/2019
B
Alaska 2/29/2024
B
New Hampshire 2/29/2024
B
Arizona 8/30/2019
B
New Jersey 8/30/2019
B
Arkansas 2/29/2024
IA
New Jersey 9/23/2019
B
California 8/30/2019
B
New Mexico 12/22/2021
B
Colorado 8/30/2019
B
New York 8/30/2019
B
Connecticut 8/30/2019
IA
New York 5/8/2023
B
Delaware 8/30/2019
B
North Carolina 8/30/2019
B
District of Columbia 8/17/2020
B
North Dakota 2/29/2024
B
Florida 8/30/2019
B
Ohio 8/30/2019
IA
Florida 2/23/2023
B
Oklahoma 2/29/2024
B
Georgia 8/30/2019
B
Oregon 2/29/2024
B
Hawaii 3/20/2023
B
Pennsylvania 8/30/2019
B
Idaho 8/30/2019
B
Puerto Rico 2/29/2024
B
Illinois 3/6/2023
B
Rhode Island 12/1/2023
B
Indiana 2/29/2024
B
South Carolina 8/30/2019
B
Iowa 2/29/2024
B
South Dakota 2/29/2024
B
Kansas 2/29/2024
B
Tennessee 8/30/2019
B
Kentucky 2/29/2024
B
Texas 8/30/2019
B
Louisiana 8/30/2019
IA
Texas 8/30/2019
B
Maine 2/29/2024
B
Utah 2/29/2024
B
Maryland 9/13/2023
B
Vermont 2/29/2024
B
Massachusetts 8/30/2019
B
Virgin Islands 2/29/2024
B
Michigan 8/30/2019
B
Virginia 8/30/2019
B
Minnesota 2/29/2024
B
Washington 8/30/2019
B
Mississippi 2/29/2024
B
West Virginia 2/29/2024
B
Missouri 10/30/2023
B
Wisconsin 2/29/2024
B
Montana 8/30/2019
B
Wyoming 8/30/2019
B
Nebraska 2/29/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

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
Registered with this firm since 8/30/2019
B
ROCKEFELLER FINANCIAL LLC (CRD#:291361)
One Town Center Road Suite 500, Boca Raton, FL 33486
Registered with this firm since 8/30/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 09/03/2019 MORGAN STANLEY (CRD#:149777) NEW YORK, NY
B
 06/01/2009 - 09/03/2019 MORGAN STANLEY (CRD#:149777) NEW YORK, NY
IA
 08/29/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEW YORK, NY
B
 08/22/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEW YORK, NY
IA
 01/19/1996 - 09/08/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEW YORK, NY
B
 01/19/1996 - 09/08/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEW YORK, NY
B
 07/31/1993 - 02/01/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 03/30/1992 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 06/20/1989 - 04/09/1992 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.