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Detailed Report
HANS S MAENTZ
HANS S. MAENTZ
CRD#: 4585412
IA
Investment Adviser
B
Broker
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 294197 Park City, UT
ROCKEFELLER FINANCIAL LLCCRD#: 291361 Park City, UT
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2021 (11 years)2 FIRMS2021 - Present (4 years)IAROCKEFELLER CAPITAL MANAGEMENT (CRD# 294197)2023 - Present (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)2002 - 2008 (5 years)IALEHMAN BROTHERS INC. (CRD# 7506)2004 - 2008 (4 years)
License(s)

State Registrations

B
Alaska 4/5/2021
B
New Hampshire 4/29/2024
B
Arizona 3/11/2021
B
New Jersey 3/11/2021
B
California 3/11/2021
B
New Mexico 3/11/2021
IA
California 3/11/2021
B
New York 3/11/2021
B
Colorado 3/11/2021
B
North Dakota 3/11/2021
B
Connecticut 3/11/2021
B
Ohio 3/11/2021
B
Delaware 3/11/2021
B
Oklahoma 3/11/2021
B
Florida 3/11/2021
B
Oregon 3/11/2021
B
Georgia 4/6/2021
B
Pennsylvania 3/11/2021
B
Hawaii 4/12/2021
B
South Dakota 3/11/2021
B
Idaho 3/11/2021
B
Tennessee 9/15/2021
B
Illinois 3/11/2021
IA
Texas 3/11/2021
B
Indiana 3/10/2023
B
Texas 3/25/2021
B
Kansas 3/11/2021
IA
Texas 10/10/2023
B
Louisiana 3/11/2021
B
Utah 3/11/2021
B
Massachusetts 3/11/2021
IA
Utah 10/25/2023
B
Michigan 3/11/2021
B
Vermont 3/11/2021
B
Minnesota 4/2/2021
B
Virginia 3/13/2021
B
Missouri 3/11/2021
B
Washington 3/11/2021
B
Montana 3/11/2021
B
Wisconsin 3/11/2021
B
Nevada 3/11/2021
B
Wyoming 3/11/2021

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)
Park City, UT
Registered with this firm since 10/10/2023
IA
ROCKEFELLER CAPITAL MANAGEMENT (CRD#:291361)
Park City, UT
Registered with this firm since 3/11/2021
B
ROCKEFELLER FINANCIAL LLC (CRD#:291361)
Park City, UT
Registered with this firm since 3/11/2021
Previous Registration(s)
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IA
 06/01/2009 - 03/30/2021 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
B
 06/01/2009 - 03/30/2021 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
IA
 08/19/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LOS ANGELES, CA
B
 08/15/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LOS ANGELES, CA
IA
 04/27/2004 - 08/26/2008 LEHMAN BROTHERS INC. (CRD#:7506) LOS ANGELES, CA
B
 10/22/2002 - 08/26/2008 LEHMAN BROTHERS INC. (CRD#:7506) LOS ANGELES, CA
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.