Ronald S. Ventura
ROCKEFELLER FINANCIAL LLC | Senior Vice President
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2847384
Professional summary
Ronald Samuel Ventura, who also goes by Ronald S Ventura, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Chicago, Illinois and ROCKEFELLER CAPITAL MANAGEMENT located in Chicago, Illinois.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Ronald has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Loans/credit services
Financial planning
Philanthropic services
Trust & estate planning
Insurance
Trading individual securities
Executive services/Equity comp...
Retirement planning
What is your current number of clients?
Under 100
What is your minimum asset requirement?
3M
Are you a "fiduciary"?
Yes
Aliases
Ronald S Ventura
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 Ronald Samuel Ventura's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald Samuel Ventura'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 #1: 222 West Adams Suite 2450, Chicago, IL 60606RIA
BD
CRD#: 291361
Chicago, IL
Current
August 19, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 227 West Monroe, Suite 2050, Chicago, IL 60606RIA
CRD#: 294197
Chicago, IL
Current
May 17, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 222 West Adams Suite 2450, Chicago, IL 60606RIA
BD
CRD#: 291361
Chicago, IL
Past
June 29, 2011 - May 28, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Chicago, IL
Past
June 29, 2011 - May 28, 2024
MORGAN STANLEY
BD
CRD#: 149777
Chicago, IL
Past
July 28, 1997 - July 8, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHICAGO, IL
Past
February 19, 1997 - July 8, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHICAGO, IL
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(5/17/2024)
RR
Arizona(5/17/2024)
RR
Arkansas(5/17/2024)
RR
California(5/17/2024)
RR
Colorado(5/17/2024)
RR
Florida(5/17/2024)
RR
Illinois(5/17/2024)
IAR
Illinois(5/17/2024)
RR
Iowa(5/17/2024)
RR
Michigan(5/17/2024)
RR
Missouri(5/17/2024)
RR
New Jersey(5/17/2024)
RR
New York(5/17/2024)
RR
Ohio(5/17/2024)
RR
Oklahoma(5/17/2024)
RR
Tennessee(5/17/2024)
RR
Texas(5/17/2024)
IAR
Texas(5/17/2024)
RR
Wisconsin(5/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
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.
Company Information
ROCKEFELLER FINANCIAL LLC
Senior Vice PresidentCRD#: 291361Chicago, IL 60606TRUST BUT VERIFY
Monitor Ronald Ventura
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
