VP
Victor E. Pagano
ROCKEFELLER FINANCIAL LLC
Hamilton, NJ 08690
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CRD#: 1563767
VP
Professional summary
Victor Ernesto Pagano, who also goes by VIctor Ernest Pagano, Victor Enesto Pagano, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Hamilton, New Jersey.
Victor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Victor has worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Victor Ernest Pagano | Victor Enesto Pagano
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 Victor Ernesto Pagano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Victor Ernesto Pagano'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
November 29, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2445 Kuser Road, Suite 302, Hamilton, NJ 08690RIA
BD
CRD#: 291361
Hamilton, NJ
Current
November 29, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2445 Kuser Road, Suite 302, Hamilton, NJ 08690RIA
BD
CRD#: 291361
Hamilton, NJ
Past
September 4, 2021 - December 9, 2021
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
New York, NY
Past
February 15, 2018 - December 9, 2021
CITI PRIVATE ALTERNATIVES, LLC
BD
CRD#: 153777
New York, NY
Past
February 17, 2017 - June 8, 2017
CITI PRIVATE ALTERNATIVES, LLC
BD
CRD#: 153777
New York, NY
Past
May 29, 2007 - December 9, 2021
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
New York, NY
Past
June 1, 1992 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
NEW YORK, NY
Past
August 18, 1989 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
BD
CRD#: 14675
Past
February 13, 1989 - March 14, 1989
BAIRD, PATRICK & CO., INC.
BD
CRD#: 1149
FAIRFIELD, NJ
Past
June 16, 1988 - January 2, 1989
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
February 8, 1988 - June 1, 1988
FIRST INTERREGIONAL EQUITY CORP.
BD
CRD#: 7486
Past
May 21, 1987 - January 22, 1988
STEINBERG & LYMAN
BD
CRD#: 15704
Past
September 24, 1986 - May 26, 1987
GREENTREE SECURITIES CORP.
BD
CRD#: 7372
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(11/29/2021)
RR
Alaska(11/29/2021)
RR
Arizona(11/29/2021)
RR
Arkansas(11/29/2021)
RR
California(11/29/2021)
RR
Colorado(11/29/2021)
RR
Connecticut(11/29/2021)
RR
Delaware(11/29/2021)
RR
District of Columbia(11/29/2021)
RR
Florida(11/29/2021)
RR
Georgia(11/29/2021)
RR
Hawaii(11/29/2021)
RR
Idaho(11/29/2021)
RR
Illinois(11/29/2021)
RR
Indiana(11/29/2021)
RR
Iowa(11/29/2021)
RR
Kansas(11/29/2021)
RR
Kentucky(11/29/2021)
RR
Louisiana(11/29/2021)
RR
Maine(11/29/2021)
RR
Maryland(11/29/2021)
RR
Massachusetts(11/29/2021)
RR
Michigan(11/29/2021)
RR
Minnesota(11/29/2021)
RR
Mississippi(11/29/2021)
RR
Missouri(11/29/2021)
RR
Montana(11/29/2021)
RR
Nebraska(11/29/2021)
RR
Nevada(12/13/2021)
RR
New Hampshire(11/29/2021)
RR
New Jersey(11/29/2021)
RR
New Mexico(11/29/2021)
RR
New York(11/29/2021)
IAR
New York(11/29/2021)
RR
North Carolina(11/29/2021)
RR
North Dakota(11/29/2021)
RR
Ohio(11/29/2021)
RR
Oklahoma(11/29/2021)
RR
Oregon(11/29/2021)
RR
Pennsylvania(11/29/2021)
RR
Puerto Rico(11/29/2021)
RR
Rhode Island(11/29/2021)
RR
South Carolina(11/29/2021)
RR
South Dakota(11/29/2021)
RR
Tennessee(11/29/2021)
RR
Texas(11/29/2021)
RR
Utah(11/29/2021)
RR
Vermont(11/29/2021)
RR
Virgin Islands(11/29/2021)
RR
Virginia(11/29/2021)
RR
Washington(11/29/2021)
RR
West Virginia(11/29/2021)
RR
Wisconsin(11/29/2021)
RR
Wyoming(11/29/2021)
Exams
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
CRD#: 291361Hamilton, NJ 08690TRUST BUT VERIFY
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