RO
Robert C. Obrien
ROCKEFELLER FINANCIAL LLC
ALLENDALE, NJ
Some features on this profile are disabled
CRD#: 2800694
RO
Professional summary
Robert Craig Obrien, who also goes by Robert Craig O'brien, Bob Obrien, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Allendale, New Jersey and ROCKEFELLER CAPITAL MANAGEMENT located in Paramus, New Jersey.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Craig O'brien | Bob Obrien
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 Robert Craig Obrien's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Craig Obrien'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 16, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #2: 115 West Century Road, Paramus, NJ 07652RIA
BD
CRD#: 291361
ALLENDALE, NJ
Current
August 5, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 115 West Century Road Suite 145, Paramus, NJ 07652RIA
CRD#: 294197
Paramus, NJ
Current
December 14, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 115 West Century Road, Paramus, NJ 07652RIA
BD
CRD#: 291361
Paramus, NJ
Past
August 26, 2021 - January 4, 2022
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
Weehawken, NJ
Past
August 25, 2021 - January 4, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 4, 2021 - March 30, 2021
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
PARSIPPANY, NJ
Past
January 31, 2003 - March 30, 2021
GOLDMAN SACHS WEALTH SERVICES, L.P.
RIA
CRD#: 106693
PARSIPPANY, NJ
Past
January 31, 2003 - January 4, 2021
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
PARSIPPANY, NJ
Past
August 23, 2002 - December 18, 2002
HARRISDIRECT LLC
RIA
CRD#: 42159
JERSEY CITY, NJ
Past
December 22, 1997 - December 18, 2002
HARRISDIRECT LLC
BD
CRD#: 42159
JERSEY CITY, NJ
Past
July 1, 1997 - November 14, 1997
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
October 4, 1996 - April 21, 1997
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
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(1/3/2022)
RR
Alaska(1/3/2022)
RR
Arizona(1/3/2022)
RR
Arkansas(1/3/2022)
RR
California(1/3/2022)
RR
Colorado(1/3/2022)
RR
Connecticut(1/3/2022)
RR
Delaware(1/3/2022)
RR
District of Columbia(1/3/2022)
RR
Florida(1/3/2022)
RR
Georgia(1/3/2022)
RR
Hawaii(1/3/2022)
RR
Idaho(1/3/2022)
RR
Illinois(1/3/2022)
IAR
Illinois(8/9/2024)
RR
Indiana(1/3/2022)
RR
Iowa(1/3/2022)
RR
Kansas(1/3/2022)
RR
Kentucky(1/3/2022)
RR
Louisiana(1/3/2022)
RR
Maine(1/3/2022)
RR
Maryland(1/3/2022)
RR
Massachusetts(1/3/2022)
RR
Michigan(1/3/2022)
RR
Minnesota(1/3/2022)
RR
Mississippi(1/3/2022)
RR
Missouri(1/3/2022)
RR
Montana(1/3/2022)
RR
Nebraska(1/3/2022)
RR
Nevada(1/3/2022)
RR
New Hampshire(1/3/2022)
RR
New Jersey(12/14/2021)
IAR
New Jersey(12/16/2021)
RR
New Mexico(1/3/2022)
RR
New York(1/3/2022)
RR
North Carolina(1/3/2022)
RR
North Dakota(1/3/2022)
RR
Ohio(1/3/2022)
RR
Oklahoma(1/3/2022)
RR
Oregon(1/3/2022)
RR
Pennsylvania(1/3/2022)
RR
Puerto Rico(1/3/2022)
RR
Rhode Island(1/3/2022)
RR
South Carolina(1/3/2022)
RR
South Dakota(1/3/2022)
RR
Tennessee(1/3/2022)
RR
Texas(1/3/2022)
IAR
Texas(8/5/2024)
RR
Utah(1/3/2022)
RR
Vermont(1/3/2022)
RR
Virgin Islands(1/3/2022)
RR
Virginia(1/3/2022)
RR
Washington(1/3/2022)
RR
West Virginia(1/3/2022)
RR
Wisconsin(1/3/2022)
RR
Wyoming(1/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General 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
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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
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.
