JD
Jacqueline E. Dufresne
ROCKEFELLER CAPITAL MANAGEMENT
NEWBURGH, NY 12550
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CRD#: 2597003
JD
Professional summary
Jacqueline Ellen Dufresne, who also goes by Jacqueline E Roessel, Jacqueline E Turner, Jacqueline Ellen Turner, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Newburgh, New York and ROCKEFELLER FINANCIAL LLC located in Newburgh, New York.
Jacqueline is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jacqueline has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jacqueline E Roessel | Jacqueline E Turner | Jacqueline Ellen Turner
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.
Head Start of Eastern Orange County - 49 Gidney Avenue Newburgh NY 12550 Head start promotes school readiness of children birth to 5 for low-income families. Member Board of Directors. May 2023 joined 1 hour a month after business hours via zoom
CRS (Client Relationship Summary) - RIA
Click below to view Jacqueline Ellen Dufresne's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jacqueline Ellen Dufresne'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
January 31, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 400 Stony Brook Court Suite 1, Newburgh, NY 12550RIA
CRD#: 294197
NEWBURGH, NY
Current
January 31, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 400 Stony Brook Court Suite 1, Newburgh, NY 12550RIA
BD
CRD#: 291361
Newburgh, NY
Current
January 31, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 400 Stony Brook Court Suite 1, Newburgh, NY 12550RIA
BD
CRD#: 291361
Newburgh, NY
Past
August 31, 2023 - February 24, 2025
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
ALBANY, NY
Past
August 31, 2023 - February 24, 2025
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
ALBANY, NY
Past
June 29, 2021 - August 31, 2023
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
Newburgh, NY
Past
May 15, 2009 - August 31, 2023
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Newburgh, NY
Past
August 18, 2006 - May 27, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
GOSHEN, NY
Past
October 9, 2001 - August 31, 2006
EDWARD JONES
BD
CRD#: 250
MONTGOMERY, 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(1/31/2025)
RR
Arkansas(1/31/2025)
RR
California(1/31/2025)
RR
Colorado(1/31/2025)
RR
Connecticut(1/31/2025)
RR
District of Columbia(1/31/2025)
RR
Florida(1/31/2025)
RR
Georgia(1/31/2025)
RR
Illinois(1/31/2025)
RR
Louisiana(1/31/2025)
RR
Maine(1/31/2025)
RR
Maryland(1/31/2025)
RR
Michigan(1/31/2025)
RR
Minnesota(1/31/2025)
RR
Missouri(1/31/2025)
RR
Montana(1/31/2025)
RR
Nevada(1/31/2025)
RR
New Hampshire(1/31/2025)
RR
New Jersey(1/31/2025)
RR
New York(1/31/2025)
IAR
New York(1/31/2025)
RR
North Carolina(2/27/2025)
RR
Ohio(1/31/2025)
RR
Oregon(1/31/2025)
RR
Pennsylvania(1/31/2025)
RR
South Carolina(1/31/2025)
RR
Tennessee(1/31/2025)
RR
Texas(1/31/2025)
IAR
Texas(1/31/2025)
RR
Vermont(1/31/2025)
RR
Virginia(1/31/2025)
RR
Washington(1/31/2025)
RR
Wisconsin(1/31/2025)
Exams
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.
Company Information
ROCKEFELLER FINANCIAL LLC
CRD#: 291361Newburgh, NY 12550TRUST BUT VERIFY
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