Bruce Tenenbaum
ROCKEFELLER FINANCIAL LLC | Managing Director
Dallas, TX
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CRD#: 1536146
Professional summary
Bruce Tenenbaum is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Dallas, Texas and ROCKEFELLER CAPITAL MANAGEMENT located in Dallas, Texas.
Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Bruce has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
What are your service offerings?
Trust & estate planning
Financial planning
Insurance
Executive services/Equity comp...
Philanthropic services
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.
Bruce is also a a licensed insurance agent with RCM Insurance Svces LLC, an affiliate of the firm.
CRS (Client Relationship Summary) - RIA
Click below to view Bruce Tenenbaum's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bruce Tenenbaum'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
May 17, 2019 - Present
ROCKEFELLER FINANCIAL LLC
RIA
BD
CRD#: 291361
Dallas, TX
Current
August 26, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
RIA
CRD#: 294197
DALLAS, TX
Current
May 17, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: Two Embarcadero Center Suite 2320, San Francisco, CA 94111RIA
BD
CRD#: 291361
San Francisco, CA
Past
May 15, 2009 - May 29, 2019
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SAN MATEO, CA
Past
May 15, 2009 - May 29, 2019
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SAN MATEO, CA
Past
August 30, 1993 - May 28, 2009
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
October 15, 1986 - September 16, 1987
MONTGOMERY SECURITIES
BD
CRD#: 4357
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
California(5/17/2019)
RR
Colorado(5/26/2021)
RR
Delaware(11/28/2023)
RR
Florida(1/7/2021)
RR
Georgia(12/5/2023)
RR
Hawaii(5/20/2019)
RR
Illinois(3/11/2022)
RR
Massachusetts(1/28/2020)
RR
Minnesota(6/23/2025)
RR
Nevada(12/9/2020)
RR
New York(5/17/2019)
RR
Oregon(5/17/2019)
RR
Tennessee(11/9/2023)
RR
Texas(4/27/2021)
IAR
Texas(4/28/2021)
IAR
Texas(8/26/2025)
RR
Utah(9/11/2019)
RR
Virginia(1/7/2021)
RR
Washington(5/17/2019)
RR
Wyoming(5/26/2021)
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#: 291361Dallas, TXTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
