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Detailed Report
CALE Leonard VAN BUREN
CALE LEONARD VANBUREN
CRD#: 2621090
IA
Investment Adviser
B
Broker
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 294197 321 BROADWAY
SARATOGA SPRINGS, NY 12866
ROCKEFELLER FINANCIAL LLCCRD#: 291361 321 Broadway
Saratoga Springs, NY 12866
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2021 - 2021 (<1 year)2 FIRMS2021 - Present (3 years)IAROCKEFELLER CAPITAL MANAGEMENT (CRD# 294197)2022 - Present (2 years)BMERCER ALLIED COMPANY, L.P. (CRD# 37404)2006 - 2021 (14 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)1995 - 2001 (5 years)
License(s)

State Registrations

B
Arizona 11/16/2022
B
New York 11/2/2021
B
California 11/2/2021
IA
New York 11/2/2021
B
Colorado 11/2/2021
B
Ohio 11/2/2021
B
Connecticut 11/2/2021
B
Pennsylvania 11/2/2021
B
District of Columbia 11/2/2021
B
South Carolina 11/2/2021
B
Florida 11/2/2021
B
Tennessee 11/2/2021
B
Georgia 11/2/2021
B
Texas 11/2/2021
B
Illinois 11/2/2021
IA
Texas 11/2/2021
B
Maryland 11/2/2021
IA
Texas 7/12/2022
B
Massachusetts 11/2/2021
B
Virginia 11/2/2021
B
New Jersey 11/2/2021
B
Wyoming 11/2/2021

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#:294197)
321 BROADWAY, SARATOGA SPRINGS, NY 12866
Registered with this firm since 7/12/2022
IA
ROCKEFELLER CAPITAL MANAGEMENT (CRD#:291361)
321 Broadway, Saratoga Springs, NY 12866
Registered with this firm since 11/2/2021
B
ROCKEFELLER FINANCIAL LLC (CRD#:291361)
321 Broadway, Saratoga Springs, NY 12866
Registered with this firm since 11/2/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/21/2021 - 11/23/2021 GOLDMAN SACHS AYCO PERSONAL FINANCIAL MANAGEMENT (CRD#:106693) COHOES, NY
B
 01/04/2021 - 11/23/2021 GOLDMAN SACHS & CO. LLC (CRD#:361) COHOES, NY
B
 07/24/2006 - 01/04/2021 MERCER ALLIED COMPANY, L.P. (CRD#:37404) COHOES, NY
B
 11/22/1995 - 08/27/2001 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
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.