Florina Shutin
ROCKEFELLER FINANCIAL | Managing Director, Investment Officer
New York, NY 10111
Some features on this profile are disabled
CRD#: 2422914
Professional summary
Florina Shutin is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in New York, New York.
Florina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Florina has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Loans/credit services
Insurance
Philanthropic services
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Florina Shutin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Florina Shutin'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
December 15, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Current
December 15, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Past
March 29, 2012 - December 22, 2025
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW YORK, NY
Past
March 9, 2012 - December 22, 2025
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW YORK, NY
Past
June 1, 2009 - March 28, 2012
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
January 31, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 26, 1994 - March 21, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
December 1, 1993 - September 9, 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
Alabama(12/15/2025)
RR
Arizona(12/15/2025)
RR
California(12/15/2025)
RR
Colorado(12/15/2025)
RR
Connecticut(12/15/2025)
RR
Delaware(12/15/2025)
RR
District of Columbia(12/15/2025)
RR
Florida(12/15/2025)
RR
Georgia(12/15/2025)
RR
Hawaii(12/15/2025)
RR
Idaho(12/15/2025)
RR
Illinois(12/15/2025)
RR
Indiana(12/15/2025)
RR
Louisiana(12/15/2025)
RR
Maryland(12/15/2025)
RR
Massachusetts(12/15/2025)
RR
Minnesota(12/15/2025)
RR
Nevada(12/15/2025)
RR
New Hampshire(12/15/2025)
RR
New Jersey(12/15/2025)
RR
New Mexico(12/15/2025)
RR
New York(12/15/2025)
IAR
New York(12/15/2025)
RR
North Carolina(12/15/2025)
RR
Ohio(12/15/2025)
RR
Oregon(12/15/2025)
RR
Pennsylvania(12/15/2025)
RR
Puerto Rico(12/15/2025)
RR
Rhode Island(12/15/2025)
RR
South Carolina(12/15/2025)
RR
Tennessee(12/15/2025)
RR
Texas(12/15/2025)
IAR
Texas(12/15/2025)
RR
Utah(12/15/2025)
RR
Vermont(1/9/2026)
RR
Virginia(1/20/2026)
RR
Washington(12/22/2025)
RR
West Virginia(12/15/2025)
RR
Wisconsin(12/15/2025)
RR
Wyoming(12/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
| Name | Position | CRD# |
|---|---|---|
| RFS OPCO LLC ("OPCO") | MEMBER | |
| ALEXANDER, MARK DAVID | PRINCIPAL OPERATIONS OFFICER | 2202934 |
| KOWALSKI, DEIRDRE PATTEN | PRINCIPAL FINANCIAL OFFICER | 1357509 |
| MIRZA, RIZWAN MOHAMMAD | CHIEF COMPLIANCE OFFICER | 5080469 |
| MORIARTY, EDMOND NICHOLAS | CO-CHIEF EXECUTIVE OFFICER | 1744318 |
| OUTLAW, MICHAEL WAYNE | CO-CHIEF EXECUTIVE OFFICER | 2760690 |
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, Investment OfficerCRD#: 291361New York, NY 10111TRUST BUT VERIFY
Monitor Florina Shutin
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
