MA
Michael C. Amato
ROCKEFELLER FINANCIAL LLC
Paramus, NJ 07652
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CRD#: 2116535
MA
Professional summary
Michael C Amato, CFP®, who also goes by Michael Amato, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Paramus, New Jersey and ROCKEFELLER CAPITAL MANAGEMENT located in Paramus, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Insurance Planning
Comprehensive Financial Planni...
Investment Planning
Are you a "fiduciary"?
Yes
Aliases
Michael Amato
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 Michael C Amato's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael C Amato'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®
CFP®
Start date: 1998
Experience
Current
October 16, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 115 West Century Road, Paramus, NJ 07652RIA
BD
CRD#: 291361
Paramus, NJ
Current
February 21, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 115 West Century Road Suite 145, Paramus, NJ 07652RIA
CRD#: 294197
PARAMUS, NJ
Current
May 1, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 115 West Century Road, Paramus, NJ 07652RIA
BD
CRD#: 291361
Paramus, NJ
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
January 21, 2009 - December 4, 2015
BARCLAYS CAPITAL INC.
RIA
CRD#: 19714
NEW YORK, NY
Past
September 22, 2008 - December 4, 2015
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
March 24, 2006 - October 15, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
NEW YORK, NY
Past
January 10, 1991 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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(4/13/2022)
RR
Arizona(7/7/2023)
RR
California(5/1/2020)
RR
Colorado(5/1/2020)
RR
Connecticut(5/1/2020)
RR
Delaware(5/1/2020)
RR
District of Columbia(5/1/2020)
RR
Florida(5/1/2020)
RR
Georgia(5/1/2020)
RR
Illinois(5/1/2020)
RR
Maine(5/1/2020)
RR
Maryland(5/1/2020)
RR
Massachusetts(5/1/2020)
RR
Michigan(5/1/2020)
RR
Missouri(5/1/2020)
RR
Nevada(5/1/2020)
RR
New Jersey(5/1/2020)
IAR
New Jersey(10/16/2020)
RR
New York(5/1/2020)
RR
North Carolina(5/1/2020)
RR
Ohio(5/1/2020)
RR
Oregon(5/1/2020)
RR
Pennsylvania(5/1/2020)
RR
Rhode Island(5/1/2020)
RR
South Carolina(5/1/2020)
RR
South Dakota(6/27/2025)
RR
Tennessee(5/1/2020)
RR
Texas(5/1/2020)
IAR
Texas(5/14/2021)
RR
Utah(5/1/2020)
RR
Vermont(5/1/2020)
RR
Virgin Islands(8/19/2021)
RR
Virginia(5/1/2020)
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
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.
