Anthony Ferrandino
ROCKEFELLER FINANCIAL LLC | Senior Financial Advisor
Newtown, PA 18940
Some features on this profile are disabled
CRD#: 2300747
Professional summary
Anthony Ferrandino, CIMA® is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Newtown, Pennsylvania and ROCKEFELLER CAPITAL MANAGEMENT located in Newtown, Pennsylvania.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Anthony has worked at 10 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
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.
I*62599 For profit or not for profit: For-Profit Organization Name of outside business organization: Ownership of condo Investment related: Y Address of business: Hoboken NJ 07030 Nature of business: Other,personally own Position, title, association: Family Held, Start date of relationship: February 1994 Number of hours devoted: 1 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: own condo in hoboken rent it out I*78910 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BATTEN DISEASE SUPPORT & RESEARCH ASSOCIATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: COLUMBUS, OHIO 43215 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 2/15/2012 NUMBER OF HOURS DEVOTED: 32 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PROVIDE SUPPORT AND RESEARCH FOR FAMILIES THAT HAVE BATTENS DISEASE. I*50324 For profit or not for profit: Non-Profit Financial Institutions Name of outside business organization: Drew's Hope Research Foundation Investment related: N Address of business: Newtown, Pennsylvania 18940 Nature of business: Scientific research for Battens disease, Position, title, association: Advisory Board Member, Start date of relationship: 3/5/2012 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: To help raise funds for disease
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Ferrandino's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthony Ferrandino'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®
Experience
Current
October 18, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 4 Caufield Place Suite 101, Newtown, PA 18940RIA
BD
CRD#: 291361
Newtown, PA
Current
October 30, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 4 Caufield Place Suite 102, Newtown, PA 18940RIA
CRD#: 294197
Newtown, PA
Current
October 18, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 4 Caufield Place Suite 101, Newtown, PA 18940RIA
BD
CRD#: 291361
Newtown, PA
Past
December 6, 2011 - October 24, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
YARDLEY, PA
Past
September 30, 2011 - October 24, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
YARDLEY, PA
Past
February 29, 2008 - April 1, 2011
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
July 11, 2005 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
May 1, 2001 - July 6, 2005
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
February 5, 2001 - May 1, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
February 29, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
January 21, 1999 - February 11, 2000
HAPOALIM SECURITIES USA, INC.
BD
CRD#: 266
NEW YORK, NY
Past
September 20, 1996 - November 13, 1998
MF GLOBAL INC.
BD
CRD#: 6731
NEW YORK, NY
Past
August 31, 1994 - February 24, 1995
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
June 2, 1993 - July 22, 1994
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.
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
Arizona(10/18/2024)
RR
California(10/18/2024)
RR
Colorado(10/18/2024)
RR
Connecticut(10/18/2024)
RR
Delaware(10/18/2024)
RR
District of Columbia(10/18/2024)
RR
Florida(10/18/2024)
RR
Georgia(10/18/2024)
RR
Illinois(10/18/2024)
RR
Indiana(10/18/2024)
RR
Kansas(10/18/2024)
RR
Maine(10/18/2024)
RR
Maryland(10/18/2024)
RR
Massachusetts(10/18/2024)
RR
Michigan(10/18/2024)
RR
New Hampshire(10/18/2024)
RR
New Jersey(10/18/2024)
RR
New York(10/18/2024)
RR
North Carolina(10/18/2024)
RR
Ohio(10/18/2024)
RR
Oregon(10/18/2024)
RR
Pennsylvania(10/18/2024)
IAR
Pennsylvania(10/18/2024)
RR
Rhode Island(10/18/2024)
RR
Tennessee(10/18/2024)
RR
Texas(10/18/2024)
IAR
Texas(10/18/2024)
RR
Virginia(10/18/2024)
RR
Washington(10/18/2024)
RR
Wisconsin(10/18/2024)
RR
Wyoming(10/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/19/2002
Limited Representative-Equity Trader ExamGeneral 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
Senior Financial AdvisorCRD#: 291361Newtown, PA 18940TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
