Kenneth J. Shapiro
ROCKEFELLER CAPITAL MANAGEMENT | Private Wealth Advisor - SVP
NEW YORK, NY 10111
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CRD#: 4560098
Professional summary
Kenneth J. Shapiro, who also goes by Kenneth James Shapiro, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in New York, New York and ROCKEFELLER FINANCIAL LLC located in New York, New York.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kenneth has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Philanthropic services
Executive services/Equity comp...
Loans/credit services
Trust & estate planning
Financial planning
Insurance
Institutional consulting
Retirement planning
What is your current number of clients?
Under 100
What is your minimum asset requirement?
5M
Are you a "fiduciary"?
Yes
Aliases
Kenneth James Shapiro
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.
BREAKBIO; Non investment related; 333 SE 2nd Avenue, Suite 2000, Miami, FL 33131; Biotech start-up company to cure solid tumor cancers; Co-founder/Non-executive advisor; 2019; Intermittently involved as non-investment related questions arise where I can be helpful.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth J. Shapiro's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth J. Shapiro'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
July 17, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 45 Rockefeller Plaza Suite 2000, New York, NY 10111RIA
CRD#: 294197
NEW YORK, NY
Current
July 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Current
July 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Past
October 26, 2021 - July 28, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
January 22, 2009 - July 28, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
September 18, 2002 - January 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
August 28, 2002 - January 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Arizona(7/17/2025)
RR
California(7/17/2025)
RR
Colorado(7/17/2025)
RR
Connecticut(7/17/2025)
IAR
Connecticut(7/28/2025)
RR
Delaware(7/29/2025)
RR
District of Columbia(7/17/2025)
RR
Florida(7/17/2025)
RR
Georgia(7/18/2025)
RR
Illinois(7/17/2025)
RR
Kentucky(7/17/2025)
RR
Maine(7/28/2025)
RR
Maryland(7/17/2025)
RR
Massachusetts(7/18/2025)
RR
Michigan(7/17/2025)
RR
Missouri(7/17/2025)
RR
New Hampshire(7/17/2025)
RR
New Jersey(7/17/2025)
RR
New York(7/17/2025)
IAR
New York(7/29/2025)
RR
North Carolina(7/17/2025)
RR
Ohio(7/17/2025)
RR
Oklahoma(7/17/2025)
RR
Pennsylvania(7/17/2025)
RR
Rhode Island(7/29/2025)
RR
South Carolina(7/17/2025)
RR
Tennessee(7/17/2025)
RR
Texas(7/17/2025)
IAR
Texas(7/17/2025)
RR
Utah(7/17/2025)
RR
Vermont(7/17/2025)
RR
Virginia(7/17/2025)
RR
Washington(7/17/2025)
Exams
State Security Law 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
Private Wealth Advisor - SVPCRD#: 291361New York, NY 10111TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
