AK
Abbas Khoshnevissan
ROCKEFELLER FINANCIAL LLC
San Francisco, CA 94111
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CRD#: 1261761
AK
Professional summary
Abbas Khoshnevissan, who also goes by Abbas Khoshnivassan, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in San Francisco, California.
Abbas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Abbas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Abbas Khoshnivassan
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) San Francisco Fencer's Club, Not investment related, 4000 Balboa Street, San Francisco, CA 94121, Fencing club, Half owner, 01/01/2007, Zero hours per month and during trading hours. Teaches children how to fence. 2) Balboa Rental, Investment related, 4000 Balboa Street, San Francisco, CA 94121, Rental property, Half owner, 01/01/2007, Zero hours per month and during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Abbas Khoshnevissan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Abbas Khoshnevissan'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®
NoneExperience
Current
July 26, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: Two Embarcadero Center Suite 2320, San Francisco, CA 94111RIA
BD
CRD#: 291361
San Francisco, CA
Current
July 26, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: Two Embarcadero Center Suite 2320, San Francisco, CA 94111RIA
BD
CRD#: 291361
San Francisco, CA
Past
January 25, 2008 - July 29, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SAN FRANCISCO, CA
Past
January 25, 2008 - July 29, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SAN FRANCISCO, CA
Past
August 14, 2001 - February 1, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SAN FRANCISCO, CA
Past
May 4, 2001 - February 1, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SAN FRANCISCO, CA
Past
April 15, 1991 - May 17, 2001
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
April 4, 1989 - April 18, 1991
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
May 19, 1987 - April 17, 1989
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
June 30, 1986 - May 13, 1987
WELLINGTON SECURITIES, INC.
BD
CRD#: 16659
Past
March 29, 1985 - July 7, 1986
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
Past
October 18, 1984 - April 8, 1985
BRETCOURT SECURITIES CORPORATION
BD
CRD#: 10604
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
Arizona(7/26/2019)
RR
California(7/26/2019)
IAR
California(7/26/2019)
RR
Colorado(11/16/2020)
RR
Delaware(1/22/2021)
RR
Florida(1/19/2024)
RR
Georgia(7/26/2019)
RR
Illinois(7/26/2019)
RR
Minnesota(7/1/2021)
RR
Nevada(8/15/2019)
RR
New York(7/26/2019)
RR
North Carolina(3/5/2024)
RR
Ohio(7/26/2019)
RR
Oregon(2/17/2020)
RR
Texas(7/26/2019)
IAR
Texas(7/26/2019)
RR
Virginia(7/26/2019)
RR
Washington(7/30/2019)
RR
Wisconsin(1/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
CRD#: 291361San Francisco, CA 94111TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
