AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SK

Susan A. Krimigis

ROCKEFELLER FINANCIAL LLC
Bethesda, MD 20814
Some features on this profile are disabled
CRD#: 2830131
SK

Professional summary

Susan Appleby Krimigis, who also goes by Susan Appleby Appleby, Susan Carol Appleby, Susan Carol Appleby, Susan Appleby Krimigis, Susan Carol Krimigis, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Bethesda, Maryland.

Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Susan has worked at 4 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Susan Appleby Appleby | Susan Carol Appleby | Susan Carol Appleby | Susan Appleby Krimigis | Susan Carol Krimigis

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Appleby Krimigis's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Susan Appleby Krimigis's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 22, 2024 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 2 Bethesda Metro Center, Suite 800, Bethesda, MD 20814
RIA
BD
CRD#: 291361
Bethesda, MD
Current

February 26, 2024 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 2 Bethesda Metro Center, Suite 800, Bethesda, MD 20814
RIA
BD
CRD#: 291361
Bethesda, MD
Past

May 29, 2007 - February 13, 2014

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
BETHESDA, MD
Past

September 18, 2003 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
BETHESDA, MD
Past

September 24, 2002 - June 25, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MCLEAN, VA
Past

August 6, 2002 - June 25, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

August 30, 1999 - August 6, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
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
California
(3/22/2024)
RR
Connecticut
(3/22/2024)
RR
Delaware
(3/22/2024)
RR
Georgia
(3/22/2024)
RR
Illinois
(3/22/2024)
RR
Kansas
(3/22/2024)
RR
Maryland
(2/26/2024)
IAR
Maryland
(3/22/2024)
RR
Massachusetts
(3/22/2024)
RR
Nevada
(10/13/2025)
RR
New Hampshire
(3/22/2024)
RR
New York
(3/22/2024)
RR
North Carolina
(3/22/2024)
RR
Ohio
(3/22/2024)
RR
Texas
(3/22/2024)
IAR
Texas
(3/22/2024)
RR
Virginia
(3/22/2024)
RR
Washington
(3/22/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/22/2024
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/24/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/17/2002
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/26/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/16/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/27/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/29/2006
Investment Company Products/Variable Contracts Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (8.25.25) (8/25/2025)
ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (8.25.25) (8/25/2025)

Direct owners and executive officers

NamePositionCRD#
RFS OPCO LLC ("OPCO")MEMBER
ALEXANDER, MARK DAVIDPRINCIPAL OPERATIONS OFFICER2202934
DUPUY, CHRISTOPHER TREVORPRESIDENT & CEO1749982
KOWALSKI, DEIRDRE PATTENPRINCIPAL FINANCIAL OFFICER1357509
MIRZA, RIZWAN MOHAMMADCCO5080469
YANNOTTA, WILLIAM MICHAELCHIEF FINANCIAL OFFICER5912733

Regulatory assets under management

Total Number of Accounts76,628
AUM (Assets Under Management)$ 70,030,224,514

Disclosures

Regulatory Event1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/24/2025
Cover Page
Report
08/26/2024
Cover Page
Report
09/27/2023
Cover Page
Report

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#: 291361Bethesda, MD 20814

TRUST BUT VERIFY

Monitor Susan Krimigis

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Raylonte Marqui Roach
Raylonte RoachAdvisorCheck Check Mark
EAGLE STRATEGIES LLC
IAR
RR
BETHESDA, MD
MH
Matthew HalversonAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Washington, DC
EC
Erin CainesAdvisorCheck Check Mark
EAGLE STRATEGIES LLC
IAR
RR
DERWOOD, MD
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.