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Detailed Report
Brandon Michael Rose
BRANDON M ROSE, Brandon Rose
CRD#: 6394908
IA
Investment Adviser
B
Broker
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 MAX at Kierland
16220 North Scottsdale Road
Scottsdale, AZ 85254
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2014 - 2016 (1 year)2 FIRMS2017 - 2022 (4 years)2 FIRMS2022 - 2022 (<1 year)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Alabama 3/10/2023
B
Montana 6/13/2022
B
Arizona 4/29/2022
B
Nevada 6/13/2022
IA
Arizona 5/5/2022
B
New Hampshire 6/13/2022
B
Arkansas 6/13/2022
B
New Jersey 6/13/2022
B
California 6/13/2022
B
New Mexico 3/10/2023
B
Colorado 6/13/2022
B
New York 6/13/2022
B
Connecticut 6/13/2022
B
North Carolina 6/13/2022
B
Delaware 6/13/2022
B
Ohio 6/13/2022
B
District of Columbia 6/13/2022
B
Oklahoma 6/13/2022
B
Florida 6/13/2022
B
Oregon 6/13/2022
B
Georgia 6/13/2022
B
Pennsylvania 6/13/2022
B
Illinois 6/13/2022
B
South Carolina 6/13/2022
B
Indiana 6/13/2022
B
South Dakota 6/13/2022
B
Iowa 6/13/2022
B
Tennessee 6/13/2022
B
Kansas 6/13/2022
B
Texas 6/13/2022
B
Kentucky 6/13/2022
IA
Texas 6/13/2022
B
Massachusetts 6/13/2022
B
Utah 6/13/2022
B
Michigan 6/13/2022
B
Vermont 3/10/2023
B
Minnesota 6/13/2022
B
Virginia 6/13/2022
B
Mississippi 6/13/2022
B
Washington 6/13/2022
B
Missouri 3/10/2023
B
Wyoming 6/13/2022

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)
MAX at Kierland 16220 North Scottsdale Road, Scottsdale, AZ 85254
Registered with this firm since 5/5/2022
B
ROCKEFELLER FINANCIAL LLC (CRD#:291361)
MAX at Kierland 16220 North Scottsdale Road, Scottsdale, AZ 85254
Registered with this firm since 4/29/2022
Previous Registration(s)
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IA
 03/16/2022 - 04/20/2022 BANCWEST INVESTMENT SERVICES, INC. (BWIS) (CRD#:29357) TEMPE, AZ
B
 03/10/2022 - 04/20/2022 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) TEMPE, AZ
IA
 03/27/2017 - 02/16/2022 MORGAN STANLEY (CRD#:149777) PEORIA, AZ
B
 03/24/2017 - 02/16/2022 MORGAN STANLEY (CRD#:149777) PEORIA, AZ
IA
 11/13/2014 - 06/10/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HUNT VALLEY, MD
B
 10/03/2014 - 06/10/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HUNT VALLEY, MD
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.