Individual Firm
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ANTHONY MICHAEL LINDNER
CRD#: 3192734
IA
B
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 294197 1850 Mt Diablo Boulevard - Suite 300
Walnut Creek, CA 94596
Walnut Creek, CA 94596
ROCKEFELLER FINANCIAL LLCCRD#: 291361 Two Embarcadero Center
Suite 2320
San Francisco, CA 94111
Suite 2320
San Francisco, CA 94111
0
Disclosures
17
Years of Experience
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State Registrations
B
California 2/13/2019
IA
Texas 8/8/2024
IA
California 2/5/2020
SRO Registrations
B
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IA
Registered with this firm since 8/7/2024
IA
Registered with this firm since 2/5/2020
B
Registered with this firm since 2/13/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/11/2013 - 11/29/2017 | SAN FRANCISCO, CA | |
B | 12/26/2013 - 11/29/2017 | SAN FRANCISCO, CA | |
B | 06/18/2013 - 07/01/2014 | SAN FRANCISCO, CA | |
IA | 09/15/2004 - 08/21/2006 | SAN FRANCISCO, CA | |
B | 02/07/2005 - 08/21/2006 | SAN FRANCISCO, CA | |
B | 09/15/2004 - 08/21/2006 | SAN FRANCISCO, CA | |
IA | 03/11/2005 - 12/31/2005 | SAN FRANCISCO, CA | |
IA | 11/22/2002 - 10/12/2004 | SAN FRANCISCO, CA | |
B | 08/07/2002 - 10/12/2004 | NEW YORK, NY | |
IA | 06/23/2000 - 08/19/2002 | SAN FRANCISCO, CA | |
B | 01/27/2000 - 08/19/2002 | SAN FRANCISCO, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.