Edward Moldaver
ROCKEFELLER FINANCIAL LLC | Managing Director, Founding Partner of The Moldaver Lee Group
New York, NY 10111
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CRD#: 1856843
Professional summary
Edward Moldaver is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in New York, New York and ROCKEFELLER CAPITAL MANAGEMENT located in Ny, New York.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Edward has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Insurance
Trust & estate planning
Philanthropic services
Loans/credit services
Financial planning
Trading individual securities
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
5M
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.
1) THE ALLIANCE OF GUARDIAN ANGELS; 982 EAST 89TH STREET, BROOKLYN, NY 11236; community safety. Center in the bronx for kids; board of trustees; vounteers with kids, fund raising; affiliation started 09/14/2006; 1 hour per week; not during securities trading hours; not investment related.
2) LOGICAL INVESTING - AUTHOR OF THE BOOK ON INVESTING;200 PARK AVENUE, NEW YORK, NY 10166 NOT INVESTMENT RELATED; OTHER AUTHOR AFFILIATION BEGIN DATE 09/17/2012; AFFILIATION END DATE NO END DATE;0 HOURS PER MONTH DURING BUSINESS HOURS
3) PSD1; 1 Messenger Dr Colts Neck NJ 07722; Used to buy personal real estate investment; Owner; Buys and sells real estate; affiliation started 09/25/2013; 1.0 hours per month; not during securities trading hours; not investment-related.
4) SUPERLEAF,LLC (DETOX WATER); 286 FLUSHING AVENUE 3RD FLOOR BROOKLYN NY 11205; SUPERLEAF IS A MAKER AND SELLER OF A NEW ALOE BASED DRINK CALLED DETOX WATER; POSITION: INTRODUCING AGENT; AFFILIATION STARTED 08/15/2016; 4 HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view Edward Moldaver's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward Moldaver'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 16, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Current
February 16, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 45 Rockefeller Plaza 5th Floor, Ny, NY, 10111RIA
CRD#: 294197
NY, NY
Current
May 1, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Past
December 4, 2015 - May 26, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
NEW YORK, NY
Past
December 4, 2015 - May 26, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NEW YORK, NY
Past
August 17, 2012 - December 4, 2015
BARCLAYS CAPITAL INC.
RIA
CRD#: 19714
NEW YORK, NY
Past
August 17, 2012 - December 4, 2015
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
June 1, 2009 - September 5, 2012
MORGAN STANLEY
RIA
CRD#: 149777
RED BANK, NJ
Past
June 1, 2009 - September 5, 2012
MORGAN STANLEY
BD
CRD#: 149777
RED BANK, NJ
Past
March 26, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
RED BANK, NJ
Past
March 20, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
RED BANK, NJ
Past
October 13, 2003 - April 2, 2008
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NEW YORK, NY
Past
January 29, 2002 - April 2, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
January 2, 2002 - January 25, 2002
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
June 26, 2000 - January 2, 2002
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
February 5, 1999 - June 22, 2000
DRAKE & COMPANY, INC.
BD
CRD#: 16227
NEW YORK, NY
Past
August 27, 1997 - February 5, 1999
PARAGON CAPITAL MARKETS, INC.
BD
CRD#: 18555
EAST HANOVER, NJ
Past
February 1, 1996 - July 25, 1997
ARGENT SECURITIES, INC.
BD
CRD#: 15297
ATLANTA, GA
Past
March 14, 1995 - January 16, 1996
PATTERSON TRAVIS, INC.
BD
CRD#: 16540
ENGLEWOOD, CO
Past
September 22, 1994 - January 31, 1995
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
July 30, 1990 - September 15, 1994
HIBBARD BROWN & CO., INC.
BD
CRD#: 18246
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.
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(4/14/2022)
RR
Arizona(7/20/2023)
RR
California(5/1/2020)
RR
Colorado(5/7/2020)
RR
Connecticut(5/1/2020)
RR
Delaware(11/4/2020)
RR
District of Columbia(5/1/2020)
RR
Florida(11/6/2020)
RR
Georgia(5/1/2020)
RR
Hawaii(5/20/2024)
RR
Illinois(5/1/2020)
RR
Maine(5/1/2020)
RR
Maryland(5/1/2020)
RR
Massachusetts(5/4/2020)
RR
Michigan(5/1/2020)
RR
Missouri(5/1/2020)
RR
Nevada(5/1/2020)
RR
New Jersey(10/30/2020)
RR
New York(5/1/2020)
IAR
New York(3/22/2021)
RR
North Carolina(5/1/2020)
RR
Ohio(5/1/2020)
RR
Oregon(11/9/2020)
RR
Pennsylvania(5/1/2020)
RR
Rhode Island(5/1/2020)
RR
South Carolina(10/28/2020)
RR
South Dakota(6/30/2025)
RR
Tennessee(3/23/2023)
RR
Texas(5/6/2020)
IAR
Texas(2/3/2021)
RR
Utah(5/1/2020)
RR
Vermont(5/1/2020)
RR
Virgin Islands(8/20/2021)
RR
Virginia(11/3/2020)
RR
Washington(5/1/2020)
RR
Wyoming(5/1/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
Company Information
ROCKEFELLER FINANCIAL LLC
Managing Director, Founding Partner of The Moldaver Lee GroupCRD#: 291361New York, NY 10111TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
