Kristin K. Nicholson
ROCKEFELLER FINANCIAL LLC | Wealth Manager
San Francisco, CA 94111
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CRD#: 4629115
Professional summary
Kristin Kaye Nicholson, CFP® is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in San Francisco, California and ROCKEFELLER CAPITAL MANAGEMENT located in San Francisco, California.
Kristin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Kristin has worked at 3 firms and has passed the Series 63 and Series 7TO exams.
Question & Answer
What are your service offerings?
Trust & estate planning
Financial planning
Loans/credit services
Trading individual securities
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
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.
Name: SHE-CAN Global Address: Mill Valley, CA Investment-related: No Nature of the business: non-profit organization mentoring and young women from post-conflict countries Role: Mentor and Board Member Start Date: February, 2012 Description of duties: Mentoring 2 young women and Board related duties Number of hours each month: 15 hours Number of hours during trading: None
CRS (Client Relationship Summary) - RIA
Click below to view Kristin Kaye Nicholson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kristin Kaye Nicholson'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®
Experience
Current
June 16, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: Two Embarcadero Center Suite 2320, San Francisco, CA 94111RIA
BD
CRD#: 291361
San Francisco, CA
Current
July 3, 2023 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: Two Embarcadero Center Suite 2320, San Francisco, CA 94111RIA
CRD#: 294197
San Francisco, CA
Current
November 29, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: Two Embarcadero Center Suite 2320, San Francisco, CA 94111RIA
BD
CRD#: 291361
San Francisco, CA
Past
April 10, 2006 - July 5, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
SAN FRANCISCO, CA
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(2/20/2024)
RR
Arizona(3/7/2024)
IAR
California(6/16/2023)
RR
California(2/20/2024)
RR
Colorado(2/22/2024)
RR
District of Columbia(2/21/2024)
RR
Florida(1/28/2025)
RR
Georgia(1/28/2025)
RR
Hawaii(2/21/2024)
RR
Idaho(1/28/2025)
RR
Illinois(2/29/2024)
RR
Maryland(1/30/2025)
RR
Massachusetts(2/21/2024)
RR
Nevada(1/28/2025)
RR
New Hampshire(2/3/2025)
RR
New York(2/21/2024)
RR
North Carolina(5/8/2025)
RR
Ohio(2/20/2024)
RR
Oklahoma(1/28/2025)
RR
Oregon(2/21/2024)
RR
South Dakota(2/22/2024)
RR
Tennessee(2/21/2024)
IAR
Texas(6/16/2023)
RR
Texas(2/24/2024)
RR
Utah(1/28/2025)
RR
Virginia(5/9/2025)
RR
Washington(2/20/2024)
RR
Wisconsin(1/28/2025)
RR
Wyoming(2/21/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/28/2023
General Securities Representative ExaminationSRO 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
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Company Information
ROCKEFELLER FINANCIAL LLC
Wealth ManagerCRD#: 291361San Francisco, CA 94111TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
