Sofia Trojanowski
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sofia Trojanowski, who also goes by Sofia Dangond, Sofia Trojanowski, was a registered financial professional .
Sofia is a previously registered financial professional and started their career in finance in 2004. Sofia had worked at 9 firms and has passed the Series 66, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2019 - April 16, 2021
ROCKEFELLER FINANCIAL LLC
October 21, 2019 - April 16, 2021
ROCKEFELLER FINANCIAL LLC
March 1, 2019 - October 28, 2019
UBS FINANCIAL SERVICES INC.
March 1, 2019 - October 28, 2019
UBS FINANCIAL SERVICES INC.
August 31, 2017 - February 25, 2019
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2016 - February 25, 2019
WELLS FARGO CLEARING SERVICES, LLC
December 2, 2015 - December 13, 2016
EQUITABLE ADVISORS, LLC
August 16, 2012 - July 10, 2014
MORGAN STANLEY DISTRIBUTION, INC.
June 1, 2009 - February 1, 2011
MORGAN STANLEY
May 3, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 1, 2006 - May 8, 2007
DEUTSCHE BANK SECURITIES INC.
April 4, 2005 - June 9, 2006
CITIGROUP GLOBAL MARKETS INC.
October 25, 2004 - April 6, 2005
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/19/2024
General Securities Representative ExaminationCurrent Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
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.
