Sean M. Gorman

ROCKEFELLER FINANCIAL LLC

Saratoga Springs, NY 12866

Some features on this profile are disabled

CRD#: 4012910

Professional summary

Sean M Gorman, who also goes by Sean Michael Gorman, is a registered financial professional currently at ROCKEFELLER FINANCIAL LLC located in Saratoga Springs, New York.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2000. Sean has worked at 7 firms and has passed the Series 63, Series 82TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sean Michael Gorman

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) - BD

Click below to view Sean M Gorman'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

June 20, 2023 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 321 Broadway, Saratoga Springs, NY 12866

RIA

CRD#: 291361

Saratoga Springs, NY

Past

December 23, 2020 - July 10, 2023

GOLDMAN SACHS & CO. LLC

CRD#: 361

COHOES, NY

Past

October 1, 2020 - July 10, 2023

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

COHOES, NY

Past

November 18, 2015 - October 1, 2020

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

May 24, 2013 - November 12, 2015

BARCLAYS CAPITAL INC.

CRD#: 19714

CHICAGO, IL

Past

May 4, 2009 - June 18, 2013

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

CHICAGO, IL

Past

September 22, 2008 - May 13, 2009

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

August 27, 2008 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 8, 2000 - August 15, 2001

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

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".

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)

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.

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

New York
(6/20/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/25/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 6/20/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/22/2012

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 1/28/2011

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/15/2010

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

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)

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)

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

Name	Position	CRD#
RFS OPCO LLC ("OPCO")	MEMBER
ALEXANDER, MARK DAVID	PRINCIPAL OPERATIONS OFFICER	2202934
DUPUY, CHRISTOPHER TREVOR	PRESIDENT & CEO	1749982
KOWALSKI, DEIRDRE PATTEN	PRINCIPAL FINANCIAL OFFICER	1357509
MIRZA, RIZWAN MOHAMMAD	CCO	5080469
YANNOTTA, WILLIAM MICHAEL	CHIEF FINANCIAL OFFICER	5912733

Regulatory assets under management

Total Number of Accounts	76,628
AUM (Assets Under Management)	$ 70,030,224,514

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

Similar Advisors

Samantha Flomenberg

YARDLEY WEALTH MANAGEMENT LLC

YARDLEY, PA

Alan Rubenfeld

DWS DISTRIBUTORS, INC.

New York, NY

Benjamin Stephenson

EQUITABLE ADVISORS, LLC

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sean M. Gorman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean M Gorman's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

MERCER ALLIED COMPANY, L.P.

GOLDMAN SACHS & CO. LLC

BARCLAYS CAPITAL INC.

CREDIT SUISSE SECURITIES (USA) LLC

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

TD AMERITRADE, INC.

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/25/2012

Series 82TO

Date: 6/20/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/26/2008

Series 24

Date: 6/22/2012

Series 10

Date: 1/28/2011

Series 9

Date: 10/15/2010

FINRA

Current Firm

ROCKEFELLER FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROCKEFELLER FINANCIAL LLC

TRUST BUT VERIFY

Similar Advisors