EW
Edward J. Wahlberg
ROCKEFELLER FINANCIAL LLC | Private Wealth Manager, Senior Vice President
FRANKLIN, TN
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CRD#: 2696139
EW
Professional summary
Edward Jelliff Wahlberg, who also goes by Ed Wahlberg, Edward J Wahlberg, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Franklin, Tennessee.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Edward has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Financial planning
Trust & estate planning
Philanthropic services
Executive services/Equity comp...
Loans/credit services
Retirement planning
What is your current number of clients?
Under 100
What is your minimum asset requirement?
3M
Are you a "fiduciary"?
Yes
Aliases
Ed Wahlberg | Edward J Wahlberg
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*72748 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NORWAY RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: Fevik Norway GNR 58 GRIMSTAD KOMMUNE, GRIMSTAD, 4876 NATURE OF BUSINESS: OTHER,RENTAL PROPERTY POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 41072 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: WIFE BOUGHT FAMILY FARM FROM HER MOTHER. FARM HOUSE IS RENTED I*39888 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: 2604 ST., ROUTE 8 LAKE PLEASANT, NEW YORK 12108 NATURE OF BUSINESS: OTHER, RENTED TO IN LAWS POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 40609 NUMBER OF HOURS DEVOTED: 12 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY
CRS (Client Relationship Summary) - RIA
Click below to view Edward Jelliff Wahlberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward Jelliff Wahlberg'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
May 17, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #2: 225 Asylum St. Suite 2830, Hartford, CT 06103RIA
BD
CRD#: 291361
FRANKLIN, TN
Current
May 17, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #2: 225 Asylum St. Suite 2830, Hartford, CT 06103RIA
BD
CRD#: 291361
FRANKLIN, TN
Past
April 10, 1996 - May 20, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HARTFORD, CT
Past
February 8, 1996 - May 20, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HARTFORD, CT
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
California(5/17/2024)
RR
Connecticut(5/17/2024)
IAR
Connecticut(5/17/2024)
RR
Delaware(5/17/2024)
RR
District of Columbia(5/17/2024)
RR
Florida(5/17/2024)
RR
Georgia(5/17/2024)
RR
Maine(5/17/2024)
RR
Maryland(5/17/2024)
RR
Massachusetts(5/17/2024)
RR
Michigan(5/17/2024)
RR
New Hampshire(5/17/2024)
RR
New Jersey(5/17/2024)
RR
New York(5/17/2024)
RR
North Carolina(5/17/2024)
RR
Oklahoma(5/17/2024)
RR
Oregon(5/17/2024)
RR
Pennsylvania(5/17/2024)
RR
Rhode Island(5/17/2024)
RR
South Carolina(5/17/2024)
RR
South Dakota(8/25/2025)
RR
Texas(5/17/2024)
IAR
Texas(5/17/2024)
RR
Vermont(5/17/2024)
RR
Virginia(5/17/2024)
RR
Washington(5/17/2024)
RR
Wyoming(5/17/2024)
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.
Company Information
ROCKEFELLER FINANCIAL LLC
Private Wealth Manager, Senior Vice PresidentCRD#: 291361Franklin, TNTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
