RG
Ron L. Guidi
ROCKEFELLER FINANCIAL LLC
ALAMO, CA
Some features on this profile are disabled
CRD#: 2761959
RG
Professional summary
Ron L Guidi, who also goes by L. Ronald Guidi, Ron Guidi, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Alamo, California and ROCKEFELLER CAPITAL MANAGEMENT located in San Francisco, California.
Ron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Ron has worked at 14 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 4, Series 53, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
L. Ronald Guidi | Ron Guidi
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.
(1) CALIFORNIA INSURANCE LICENSE AGENT - PRESENTLY NON AFFLIATED.
(2) THE GUIDI FAMILY TRUST - TRUST CONTAINS RENTAL PROPERTY - INVESTMENT RELATED - RENTAL INCOME. DUTIES: MAINTAINING PROPERTY. SPENDS APPROXIATELY TWO HOURS PER MONTH, ZERO DURING MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Ron L Guidi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ron L Guidi'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 7, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #2: Two Embarcadero Center Suite 2320, San Francisco, CA 94111RIA
BD
CRD#: 291361
ALAMO, CA
Current
August 7, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: Two Embarcadero Center, Suite 2320, San Francisco, CA 94111RIA
CRD#: 294197
San Francisco, CA
Current
May 3, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: Two Embarcadero Center Suite 2320, San Francisco, CA 94111RIA
BD
CRD#: 291361
San Francisco, CA
Past
May 17, 2018 - April 29, 2019
LIBERTY WEALTH MANAGEMENT, LLC
RIA
CRD#: 286001
OAKLAND, CA
Past
August 24, 2017 - October 10, 2018
LIBERTY GROUP, LLC
RIA
CRD#: 106036
OAKLAND, CA
Past
August 21, 2017 - April 29, 2019
LIBERTY GROUP, LLC
BD
CRD#: 106036
OAKLAND, CA
Past
December 26, 2013 - August 4, 2017
ROBERTSON STEPHENS SECURITIES
BD
CRD#: 167704
SAN FRANCISCO, CA
Past
August 9, 2013 - August 4, 2017
ROBERTSON STEPHENS ADVISORS
RIA
CRD#: 166736
SAN FRANCISCO, CA
Past
May 31, 2013 - May 1, 2014
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
SAN FRANCISCO, CA
Past
July 20, 2006 - March 20, 2013
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
SAN FRANCISCO, CA
Past
July 20, 2006 - March 20, 2013
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
SAN FRANCISCO, CA
Past
May 19, 2006 - July 24, 2006
SAGETRADER, LLC
BD
CRD#: 137862
ENGLEWOOD, NJ
Past
March 11, 2005 - November 7, 2005
S & Y ASSET MANAGEMENT LLC
RIA
CRD#: 129754
SAN FRANCISCO, CA
Past
February 7, 2005 - November 7, 2005
S & Y ASSET MANAGEMENT LLC
BD
CRD#: 129754
SAN FRANCISCO, CA
Past
July 29, 2004 - November 7, 2005
STONE & YOUNGBERG LLC
BD
CRD#: 795
SAN FRANCISCO, CA
Past
July 26, 2004 - November 7, 2005
STONE & YOUNGBERG LLC
RIA
CRD#: 795
SAN FRANCISCO, CA
Past
June 19, 2002 - November 1, 2002
ROBERTSON STEPHENS, INC.
RIA
CRD#: 41271
BOSTON, MA
Past
September 1, 1998 - November 1, 2002
ROBERTSON STEPHENS, INC.
BD
CRD#: 41271
SAN FRANCISCO, CA
Past
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
BD
CRD#: 17977
SAN FRANCISCO, CA
Past
July 31, 1997 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
BD
CRD#: 7730
SAN FRANCISCO, CA
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(11/13/2019)
RR
Alaska(11/13/2019)
RR
Arizona(11/13/2019)
RR
Arkansas(11/13/2019)
RR
California(5/3/2019)
IAR
California(5/7/2019)
RR
Colorado(11/13/2019)
RR
Connecticut(11/13/2019)
RR
Delaware(11/13/2019)
RR
District of Columbia(11/13/2019)
RR
Florida(11/13/2019)
RR
Georgia(11/13/2019)
RR
Hawaii(11/13/2019)
RR
Idaho(11/13/2019)
RR
Illinois(11/13/2019)
RR
Indiana(11/13/2019)
RR
Iowa(11/13/2019)
RR
Kansas(11/13/2019)
RR
Kentucky(11/13/2019)
RR
Louisiana(11/13/2019)
RR
Maine(11/13/2019)
RR
Maryland(11/13/2019)
RR
Massachusetts(11/13/2019)
RR
Michigan(11/13/2019)
RR
Minnesota(11/13/2019)
RR
Mississippi(11/13/2019)
RR
Missouri(11/13/2019)
RR
Montana(11/13/2019)
RR
Nebraska(11/13/2019)
RR
Nevada(11/13/2019)
RR
New Hampshire(11/13/2019)
RR
New Jersey(11/13/2019)
RR
New Mexico(11/13/2019)
RR
New York(11/13/2019)
RR
North Carolina(11/13/2019)
RR
North Dakota(11/13/2019)
RR
Ohio(11/13/2019)
RR
Oklahoma(11/13/2019)
RR
Oregon(11/13/2019)
RR
Pennsylvania(11/13/2019)
RR
Puerto Rico(11/13/2019)
RR
Rhode Island(11/13/2019)
RR
South Carolina(11/13/2019)
RR
South Dakota(11/13/2019)
RR
Tennessee(11/13/2019)
RR
Texas(11/13/2019)
IAR
Texas(9/23/2021)
IAR
Texas(8/7/2024)
RR
Utah(11/13/2019)
RR
Vermont(11/13/2019)
RR
Virgin Islands(11/13/2019)
RR
Virginia(11/13/2019)
RR
Washington(11/13/2019)
RR
West Virginia(11/13/2019)
RR
Wisconsin(11/13/2019)
RR
Wyoming(11/13/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
