Christa Wendell

ROCKEFELLER FINANCIAL

HAMILTON, NJ 08690

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CRD#: 4044736

Professional summary

Christa Wendell, who also goes by Christa Bruckner Ahrens, Christa Michelle Bruckner, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Hamilton, New Jersey.

Christa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Christa has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

Aliases

Christa Bruckner Ahrens | Christa Michelle Bruckner

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.

CWM HOLDINGS LLC - operating since 05/15/2019 - 50 % Owner - OBA for Profit - 37 Poplar Avenue, Fair Haven, NJ 07704 - Purpose: Own and/or lease residential property - Devote 30 minutes a month, none during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christa Wendell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Christa Wendell'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

May 5, 2021 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 2445 Kuser Road, Suite 302 Zone A, Hamilton, NJ 08690

RIA

CRD#: 291361

HAMILTON, NJ

Current

January 29, 2020 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 2445 Kuser Road, Suite 302 Zone A, Hamilton, NJ 08690

RIA

CRD#: 291361

HAMILTON, NJ

Past

January 21, 2008 - May 20, 2010

MANAGED ACCOUNT ADVISORS LLC

RIA

CRD#: 142558

JERSEY CITY, NJ

Past

December 5, 2006 - September 18, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 24, 2005 - October 18, 2006

WALNUT STREET SECURITIES, INC.

CRD#: 15840

ISELIN, NJ

Past

March 24, 2005 - October 18, 2006

NEW ENGLAND SECURITIES

CRD#: 615

ISELIN, NJ

Past

March 24, 2005 - October 18, 2006

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

ISELIN, NJ

Past

March 24, 2005 - October 18, 2006

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ISELIN, NJ

Past

December 7, 1999 - January 4, 2005

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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 Jersey
(5/4/2021)

IAR

New Jersey
(5/5/2021)

New York
(5/4/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

What does exam status mean?

State Security Law Exam

IAR

Series 66

Status Unavailable

Passed: 5/4/2021

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 1/18/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 2/18/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Status Unavailable

Passed: 12/30/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 11/4/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 12/2/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 3/27/2023

General Securities Principal 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)

PREMIUM

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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

1,005

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 WRAP FEE BROCHURE (03.31.26) (3/31/2026)

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (03.31.26) (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
RFS OPCO LLC ("OPCO")	MEMBER
ALEXANDER, MARK DAVID	PRINCIPAL OPERATIONS OFFICER	2202934
KOWALSKI, DEIRDRE PATTEN	PRINCIPAL FINANCIAL OFFICER	1357509
MIRZA, RIZWAN MOHAMMAD	CHIEF COMPLIANCE OFFICER	5080469
MORIARTY, EDMOND NICHOLAS	CO-CHIEF EXECUTIVE OFFICER	1744318
OUTLAW, MICHAEL WAYNE	CO-CHIEF EXECUTIVE OFFICER	2760690

Regulatory assets under management

Total Number of Accounts	95,368
AUM (Assets Under Management)	$ 99,603,487,232

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.

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Christa Wendell

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christa Wendell's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Christa Wendell's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKEFELLER FINANCIAL LLC

MANAGED ACCOUNT ADVISORS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WALNUT STREET SECURITIES, INC.

NEW ENGLAND SECURITIES

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

PERSHING LLC

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Passed: 5/4/2021

Series 65

Passed: 1/18/2008

Series 63

Passed: 2/18/2000

Series 7TO

Passed: 12/30/2019

SIE

Passed: 11/4/2019

Series 7

Passed: 12/2/1999

Series 24

Passed: 3/27/2023

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

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