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Detailed Report
PAUL MARQUES FERNANDES
CRD#: 6432856
IA
Investment Adviser
B
Broker
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 321 Broadway
Saratoga Springs, NY 12866
Registration History
2010201220142016201820202022202420262 FIRMS2022 - Present (2 years)BGOLDMAN SACHS & CO. LLC (CRD# 361)2021 - 2022 (1 year)BMERCER ALLIED COMPANY, L.P. (CRD# 37404)2015 - 2021 (5 years)IAGOLDMAN SACHS AYCO PERSONAL FI... (CRD# 106693)2017 - 2022 (4 years)
Disclosure(s)
View By:
12/6/2009
Criminal
Final Disposition
License(s)

State Registrations

B
California 3/15/2023
B
New York 8/8/2022
B
Connecticut 8/8/2022
IA
New York 8/8/2022
B
Florida 8/9/2022
B
Wisconsin 2/7/2024
B
Maryland 3/15/2023

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)
321 Broadway, Saratoga Springs, NY 12866
Registered with this firm since 8/8/2022
B
ROCKEFELLER FINANCIAL LLC (CRD#:291361)
321 Broadway, Saratoga Springs, NY 12866
Registered with this firm since 8/8/2022
Previous Registration(s)
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IA
 10/03/2017 - 08/26/2022 GOLDMAN SACHS AYCO PERSONAL FINANCIAL MANAGEMENT (CRD#:106693) Saratoga Springs, NY
B
 01/04/2021 - 08/26/2022 GOLDMAN SACHS & CO. LLC (CRD#:361) SARATOGA SPRINGS, NY
B
 03/23/2015 - 01/04/2021 MERCER ALLIED COMPANY, L.P. (CRD#:37404) LATHAM, NY
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.