EM
Edmond N. Moriarty
ROCKEFELLER FINANCIAL LLC
New York, NY 10111
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CRD#: 1744318
EM
Professional summary
Edmond Nicholas Moriarty, who also goes by Ed Moriarty, Edmond N Moriarty III, Edmond N Moriarty, Edmond Nicholas Moriarty III, is a registered financial professional currently at ROCKEFELLER FINANCIAL LLC located in New York, New York.
Edmond is registered as a RR (Registered Representative) and started their career in finance in 1987. Edmond has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ed Moriarty | Edmond N Moriarty Iii | Edmond N Moriarty | Edmond Nicholas Moriarty Iii
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) - BD
Click below to view Edmond Nicholas Moriarty'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
October 10, 2018 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Past
February 7, 2018 - November 14, 2018
AXIOM CAPITAL MANAGEMENT, INC.
BD
CRD#: 26580
NEW YORK, NY
Past
November 3, 2010 - August 22, 2016
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
March 3, 2010 - October 5, 2011
MORGAN STANLEY DISTRIBUTORS INC.
BD
CRD#: 30992
NEW YORK, NY
Past
March 3, 2010 - September 27, 2013
MORGAN STANLEY DISTRIBUTION, INC.
BD
CRD#: 30344
NEW YORK, NY
Past
November 10, 1987 - March 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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.
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(11/7/2018)
RR
Alaska(10/26/2018)
RR
Arizona(10/12/2018)
RR
Arkansas(11/27/2018)
RR
California(10/22/2018)
RR
Colorado(10/26/2018)
RR
Connecticut(10/25/2018)
RR
Delaware(10/29/2018)
RR
District of Columbia(11/5/2018)
RR
Florida(11/7/2018)
RR
Georgia(10/17/2018)
RR
Hawaii(12/12/2018)
RR
Idaho(10/16/2018)
RR
Illinois(11/28/2018)
RR
Indiana(11/27/2018)
RR
Iowa(10/12/2018)
RR
Kansas(11/2/2018)
RR
Kentucky(10/15/2018)
RR
Louisiana(10/22/2018)
RR
Maine(11/2/2018)
RR
Maryland(10/29/2018)
RR
Massachusetts(11/15/2018)
RR
Michigan(10/29/2018)
RR
Minnesota(3/11/2019)
RR
Mississippi(10/24/2018)
RR
Missouri(12/4/2018)
RR
Montana(10/12/2018)
RR
Nebraska(12/18/2018)
RR
New Hampshire(12/13/2018)
RR
New Jersey(11/27/2018)
RR
New Mexico(12/12/2018)
RR
New York(10/16/2018)
RR
North Carolina(10/26/2018)
RR
North Dakota(11/9/2018)
RR
Ohio(10/23/2018)
RR
Oklahoma(10/29/2018)
RR
Oregon(10/29/2018)
RR
Pennsylvania(10/18/2018)
RR
Puerto Rico(1/11/2019)
RR
Rhode Island(10/22/2018)
RR
South Carolina(10/24/2018)
RR
South Dakota(10/17/2018)
RR
Tennessee(11/13/2018)
RR
Texas(11/29/2018)
RR
Utah(10/15/2018)
RR
Vermont(11/28/2018)
RR
Virgin Islands(11/14/2018)
RR
Virginia(11/28/2018)
RR
Washington(11/27/2018)
RR
West Virginia(12/12/2018)
RR
Wisconsin(10/25/2018)
RR
Wyoming(10/31/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
