David E. Farber
ROCKEFELLER FINANCIAL LLC | Wealth Manager
Florham Park, NJ 07932
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CRD#: 1227263
Professional summary
David Evan Farber, CFP® is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Florham Park, New Jersey and ROCKEFELLER CAPITAL MANAGEMENT located in Florham Park, New Jersey.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. David has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 24, Series 4 and Series 27 exams.
Question & Answer
What are your service offerings?
Trust & estate planning
Financial planning
Philanthropic services
Loans/credit services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Name: Client's Trust Account Investment-Related: Yes Position/ Title: Trustee Duties: Mr. Farber acts in the capacity of trustee for a client account. Number of hours each month: 1 Number of hours during trading: 1 2) Name: Banika LLC Investment-related: Yes Nature of the business: Making an investment in Verneek Inc an early stage technology company Role: I am a member of the LLC Start Date: 10/25/2022 Description of duties: I am strictly an investor. Number of hours each month: 0 Number of hours during trading: 0
CRS (Client Relationship Summary) - RIA
Click below to view David Evan Farber's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Evan Farber's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2007
Experience
Current
April 19, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 180 Park Ave, Suite 110, Florham Park, NJ 07932RIA
BD
CRD#: 291361
Florham Park, NJ
Current
February 21, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 180 Park Ave 1st Floor, Florham Park, NJ 07932RIA
CRD#: 294197
Florham Park, NJ
Current
April 19, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 180 Park Ave, Suite 110, Florham Park, NJ 07932RIA
BD
CRD#: 291361
Florham Park, NJ
Past
January 20, 2017 - May 16, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
NEW YORK, NY
Past
January 20, 2017 - May 16, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
NEW YORK, NY
Past
June 28, 2005 - January 24, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
May 17, 2005 - January 24, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 22, 1984 - July 10, 1989
SWERGOLD, CHEFITZ & INCORPORATED
BD
CRD#: 13936
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/19/2023)
RR
Arizona(4/19/2023)
RR
Arkansas(4/19/2023)
RR
California(4/19/2023)
RR
Colorado(4/19/2023)
RR
Connecticut(4/19/2023)
RR
Delaware(4/19/2023)
RR
Florida(4/19/2023)
RR
Georgia(4/19/2023)
RR
Illinois(4/19/2023)
RR
Indiana(4/19/2023)
RR
Kentucky(4/19/2023)
RR
Louisiana(4/19/2023)
RR
Maine(4/19/2023)
RR
Maryland(4/19/2023)
RR
Massachusetts(4/19/2023)
RR
Michigan(4/19/2023)
RR
Nevada(4/19/2023)
RR
New Jersey(4/19/2023)
IAR
New Jersey(9/3/2025)
RR
New York(4/19/2023)
IAR
New York(4/19/2023)
RR
North Carolina(4/19/2023)
RR
Ohio(4/19/2023)
RR
Oklahoma(4/19/2023)
RR
Oregon(4/19/2023)
RR
Pennsylvania(4/19/2023)
RR
Rhode Island(4/19/2023)
RR
South Carolina(4/19/2023)
RR
Tennessee(4/19/2023)
RR
Texas(4/19/2023)
IAR
Texas(4/19/2023)
RR
Vermont(4/19/2023)
RR
Virginia(4/19/2023)
RR
Washington(4/19/2023)
RR
Wisconsin(4/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Phone number
(212) 549-5100
Established
Delaware since 10/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
824
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROCKEFELLER FINANCIAL LLC
Wealth ManagerCRD#: 291361Florham Park, NJ 07932TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
