JN
Joseph J. Nacca
ROCKEFELLER CAPITAL MANAGEMENT
Rochester, NY 14625
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CRD#: 4695672
JN
Professional summary
Joseph J Nacca is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Rochester, New York and ROCKEFELLER FINANCIAL LLC located in Rochester, New York.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Joseph has worked at 4 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
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.
Snowmellow Alpine, Victor, NY. Alpine ski racing club. Compliance role since August 2024. Not compensated and he spends 5 hours a month on this role and zero hours during trading hours. Youth sports.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph J Nacca's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph J Nacca'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
May 23, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 500 Linden Oaks, Suite 110, Rochester, NY 14625RIA
CRD#: 294197
Rochester, NY
Current
May 23, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 500 Linden Oaks, Suite 110, Rochester, NY 14625RIA
BD
CRD#: 291361
ROCHESTER, NY
Current
May 23, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 500 Linden Oaks, Suite 110, Rochester, NY 14625RIA
BD
CRD#: 291361
ROCHESTER, NY
Past
March 20, 2009 - May 23, 2025
SAGE, RUTTY & CO., INC.
RIA
CRD#: 3254
ROCHESTER, NY
Past
September 22, 2004 - May 23, 2025
SAGE, RUTTY & CO., INC.
BD
CRD#: 3254
ROCHESTER, NY
Past
August 17, 2004 - September 2, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
ROCHESTER, NY
Past
September 17, 2003 - September 2, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
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(5/23/2025)
RR
Arizona(5/23/2025)
RR
California(5/23/2025)
RR
Colorado(5/23/2025)
RR
Delaware(5/23/2025)
RR
Florida(5/23/2025)
RR
Georgia(5/23/2025)
RR
Maine(5/23/2025)
RR
Maryland(5/23/2025)
RR
Massachusetts(5/23/2025)
RR
Minnesota(5/23/2025)
RR
New York(5/23/2025)
IAR
New York(5/23/2025)
RR
North Carolina(5/23/2025)
RR
Ohio(5/23/2025)
RR
Pennsylvania(5/23/2025)
RR
Rhode Island(5/23/2025)
RR
South Carolina(5/23/2025)
RR
Tennessee(5/23/2025)
RR
Texas(5/23/2025)
IAR
Texas(5/23/2025)
RR
Vermont(5/23/2025)
RR
Wyoming(5/23/2025)
Exams
State Security Law Exam
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
CRD#: 291361Rochester, NY 14625TRUST BUT VERIFY
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