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Detailed Report
NEIL MARTIN
CRD#: 7487096
IA
Investment Adviser
B
Broker
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 2000 Avenue of the Stars
Suite 530 N
Los Angeles, CA 90067
Registration History
202220232024202520262 FIRMS2022 - 2023 (1 year)2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Arizona 10/6/2023
B
Nevada 10/6/2023
B
California 10/6/2023
B
New Jersey 10/6/2023
IA
California 10/6/2023
B
New York 10/6/2023
B
Colorado 10/6/2023
B
North Carolina 10/6/2023
B
Connecticut 10/6/2023
B
Ohio 10/6/2023
B
Florida 10/6/2023
B
Oregon 10/6/2023
B
Hawaii 10/6/2023
B
Pennsylvania 10/6/2023
B
Illinois 10/6/2023
B
Tennessee 10/6/2023
B
Iowa 10/6/2023
B
Texas 10/6/2023
B
Kansas 10/6/2023
IA
Texas 10/6/2023
B
Louisiana 10/6/2023
B
Utah 10/6/2023
B
Massachusetts 10/6/2023
B
Virginia 10/6/2023
B
Michigan 8/1/2024
B
Washington 10/6/2023
B
Mississippi 10/6/2023
B
Wisconsin 10/6/2023
B
Missouri 10/6/2023
B
Wyoming 10/6/2023

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)
2000 Avenue of the Stars Suite 530 N, Los Angeles, CA 90067
Registered with this firm since 10/6/2023
B
ROCKEFELLER FINANCIAL LLC (CRD#:291361)
2000 Avenue of the Stars Suite 530 N, Los Angeles, CA 90067
Registered with this firm since 10/6/2023
Previous Registration(s)
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IA
 02/24/2022 - 10/13/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MANHATTAN BEACH, CA
B
 01/24/2022 - 10/13/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MANHATTAN BEACH, 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.