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Detailed Report
SAMUEL EDENS WILSON
SAMUEL E. WILSON
CRD#: 4566683
IA
Investment Adviser
B
Broker
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 8 Sound Shore Drive
Greenwich, CT 06830
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2007 (2 years)2 FIRMS2020 - Present (4 years)BNORTHERN TRUST SECURITIES, INC. (CRD# 7927)2017 - 2020 (3 years)BABN AMRO INCORPORATED (CRD# 15776)2003 - 2004 (<1 year)
License(s)

State Registrations

B
Arizona 6/15/2021
B
New Jersey 9/16/2020
B
California 9/16/2020
B
New York 9/16/2020
B
Colorado 11/11/2020
B
North Carolina 9/16/2020
B
Connecticut 9/16/2020
B
North Dakota 9/16/2020
IA
Connecticut 9/16/2020
B
Oklahoma 8/10/2021
B
Delaware 9/16/2020
B
Oregon 9/16/2020
B
District of Columbia 9/16/2020
B
Pennsylvania 9/16/2020
B
Florida 9/16/2020
B
Rhode Island 9/16/2020
B
Georgia 9/16/2020
B
South Carolina 9/16/2020
B
Idaho 11/11/2020
B
Tennessee 11/15/2023
B
Illinois 1/23/2024
B
Texas 11/11/2020
B
Maine 9/16/2020
IA
Texas 6/18/2021
B
Maryland 9/16/2020
B
Utah 9/16/2020
B
Massachusetts 9/16/2020
B
Vermont 9/16/2020
B
Michigan 6/18/2021
B
Virginia 9/16/2020
B
Montana 11/11/2020
B
Washington 1/21/2022
B
Nevada 10/12/2020
B
Wisconsin 7/7/2021
B
New Hampshire 12/2/2021
B
Wyoming 12/2/2024

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)
8 Sound Shore Drive, Greenwich, CT 06830
Registered with this firm since 9/16/2020
B
ROCKEFELLER FINANCIAL LLC (CRD#:291361)
8 Sound Shore Drive, Greenwich, CT 06830
Registered with this firm since 9/16/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/06/2017 - 09/22/2020 NORTHERN TRUST SECURITIES, INC. (CRD#:7927) NEW YORK, NY
B
 10/25/2004 - 05/11/2007 PIPER JAFFRAY & CO. (CRD#:665) MINNEAPOLIS, MN
B
 04/02/2004 - 05/07/2007 KELLOGG CAPITAL GROUP LLC (CRD#:35032) NEW YORK, NY
B
 09/26/2003 - 04/07/2004 ABN AMRO INCORPORATED (CRD#:15776) STAMFORD, CT
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.