RH
Richard O. Hassan
ROCKEFELLER FINANCIAL LLC | Managing Director
Stamford, CT 06902
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CRD#: 1349435
RH
Professional summary
Richard Owen Hassan is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Stamford, Connecticut.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
What are your service offerings?
Loans/credit services
Executive services/Equity comp...
Institutional consulting
Insurance
Financial planning
Philanthropic services
Trust & estate planning
Trading individual securities
Retirement planning
What is your current number of clients?
Under 100
What is your minimum asset requirement?
10M
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Owen Hassan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Owen Hassan'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
August 18, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902Office #2: 5355 Town Center Rd Floor 6, Boca Raton, FL 33486RIA
BD
CRD#: 291361
Stamford, CT
Current
August 18, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902Office #2: 5355 Town Center Rd Floor 6, Boca Raton, FL 33486RIA
BD
CRD#: 291361
Stamford, CT
Past
September 6, 2016 - August 31, 2022
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
Greenwich, CT
Past
September 6, 2016 - August 31, 2022
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
Greenwich, CT
Past
March 29, 2004 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
GREENWICH, CT
Past
March 19, 2004 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
GREENWICH, CT
Past
September 26, 2000 - March 19, 2004
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
Past
August 11, 1998 - October 2, 2000
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
September 1, 1997 - September 10, 1998
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
March 30, 1995 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
January 6, 1995 - January 30, 1995
DICKINSON & CO.
BD
CRD#: 689
DES MOINES, IA
Past
June 17, 1994 - January 21, 1995
MONTANO SECURITIES CORPORATION
BD
CRD#: 7887
ORANGE, CA
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(8/18/2022)
RR
California(8/18/2022)
RR
Colorado(8/18/2022)
RR
Connecticut(8/18/2022)
IAR
Connecticut(8/18/2022)
RR
District of Columbia(8/18/2022)
RR
Florida(8/18/2022)
RR
Illinois(8/18/2022)
RR
Maryland(8/18/2022)
RR
Massachusetts(8/18/2022)
RR
New Jersey(8/18/2022)
RR
New York(8/18/2022)
RR
North Carolina(9/1/2022)
RR
Ohio(8/18/2022)
RR
Rhode Island(8/18/2022)
RR
Texas(9/19/2025)
IAR
Texas(9/22/2025)
RR
Vermont(8/18/2022)
RR
Washington(8/18/2022)
Exams
State Security Law Exam
State Security Law 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
Managing DirectorCRD#: 291361Stamford, CT 06902TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
