Sean P. Connolly
ROCKEFELLER FINANCIAL LLC | Managing Director - Senior Financial Advisor
Winter Park, FL 32789
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CRD#: 3238057
Professional summary
Sean Patrick Connolly is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Winter Park, Florida.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Sean 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?
Executive services/Equity comp...
Financial planning
Trust & estate planning
Philanthropic services
Institutional consulting
Loans/credit services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
None
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.
ST. MARGARET MARY CHURCH, WINTER PARK, FL 32789 - INVESTMENT RLT'D - NO, HRS DEVOTED TO ACTIVITY - 2, HRS DURING TRADING - 0, DATE ACTIVITY BEGAN 01/01/11, POSITION - COMMITTEE MEMBER; CHURCH ADVISORY BOARD. I*505909 For profit or not for profit: Entity For Profit Name of outside business organization: Hyannisport Chocolate Chip Cookies Investment related: N Address of business: Winter Park, Florida, 32792 Nature of business: ["Sole Proprietorship"] Position, title, association: ["Other"], Start date of relationship: 7/5/2021 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: I own the IP, I am licensing my families Cookie recipe to a commercial bakery. WINTER PINES - ADVISORY BOARD - COMMITTEE
CRS (Client Relationship Summary) - RIA
Click below to view Sean Patrick Connolly's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sean Patrick Connolly'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
February 17, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 271 West Canton Ave., Suite 100, Winter Park, FL 32789RIA
BD
CRD#: 291361
Winter Park, FL
Current
February 17, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 271 West Canton Ave., Suite 100, Winter Park, FL 32789RIA
BD
CRD#: 291361
Winter Park, FL
Past
October 10, 2003 - February 21, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WINTER PARK, FL
Past
September 5, 2003 - February 21, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WINTER PARK, FL
Past
November 21, 2002 - November 19, 2003
GLOBAL ASSETS ADVISORS, LLC
RIA
CRD#: 119016
ORLANDO, FL
Past
July 9, 1999 - September 5, 2003
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
ORLANDO, FL
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(2/17/2023)
RR
California(2/17/2023)
RR
Colorado(2/17/2023)
RR
Connecticut(2/17/2023)
RR
Florida(2/17/2023)
IAR
Florida(2/27/2023)
RR
Georgia(2/17/2023)
RR
Illinois(2/17/2023)
RR
Indiana(2/17/2023)
RR
Kansas(9/6/2023)
RR
Kentucky(2/17/2023)
RR
Louisiana(2/17/2023)
RR
Maine(2/17/2023)
RR
Massachusetts(2/17/2023)
RR
Michigan(2/17/2023)
RR
Minnesota(2/17/2023)
RR
Montana(8/5/2025)
RR
New Jersey(2/17/2023)
RR
New York(2/17/2023)
RR
North Carolina(2/17/2023)
RR
Ohio(2/17/2023)
RR
Oklahoma(2/17/2023)
RR
Pennsylvania(2/17/2023)
RR
Rhode Island(2/17/2023)
RR
South Carolina(2/17/2023)
RR
Tennessee(2/17/2023)
RR
Texas(2/17/2023)
IAR
Texas(2/17/2023)
RR
Utah(2/17/2023)
RR
Virginia(2/17/2023)
RR
Washington(2/17/2023)
RR
West Virginia(2/17/2023)
RR
Wisconsin(2/17/2023)
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)
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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
Managing Director - Senior Financial AdvisorCRD#: 291361Winter Park, FL 32789TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
