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AB

Andrew T. Bagley

ROCKEFELLER FINANCIAL LLC
HAMILTON, NJ 08690
Some features on this profile are disabled
CRD#: 4888639
AB

Professional summary

Andrew T Bagley, who also goes by Andrew Thomas Bagley, Andrew Bagley, is a registered financial professional currently at ROCKEFELLER FINANCIAL LLC located in Hamilton, New Jersey.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2006. Andrew has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew Thomas Bagley | Andrew Bagley

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew T Bagley'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

October 3, 2023 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 2445 Kuser Road, Suite 302 Zone A, Hamilton, NJ 08690
RIA
BD
CRD#: 291361
HAMILTON, NJ
Past

June 23, 2022 - January 16, 2023

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
New York, NY
Past

September 19, 2017 - April 11, 2022

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
New York, NY
Past

March 29, 2011 - May 24, 2017

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

March 28, 2007 - March 14, 2011

FEF DISTRIBUTORS, LLC

BD
CRD#: 46585
NEW YORK, NY
Past

June 12, 2006 - March 27, 2007

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
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.

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
New Jersey
(10/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/27/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 10/3/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/9/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/13/2024
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/13/2024
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/12/2024
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/19/2023
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/26/2008
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (12.24.25) (12/26/2025)
ROCKEFELLER FINANCIAL ADV 2A BROCHURE (12.24.25) (12/24/2025)

Direct owners and executive officers

NamePositionCRD#
RFS OPCO LLC ("OPCO")MEMBER
ALEXANDER, MARK DAVIDPRINCIPAL OPERATIONS OFFICER2202934
KOWALSKI, DEIRDRE PATTENPRINCIPAL FINANCIAL OFFICER1357509
MIRZA, RIZWAN MOHAMMADCHIEF COMPLIANCE OFFICER5080469
MORIARTY, EDMOND NICHOLASCO-CHIEF EXECUTIVE OFFICER1744318
OUTLAW, MICHAEL WAYNECO-CHIEF EXECUTIVE OFFICER2760690

Regulatory assets under management

Total Number of Accounts76,628
AUM (Assets Under Management)$ 70,030,224,514

Disclosures

Regulatory Event1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

ROCKEFELLER FINANCIAL LLC

CRD#: 291361Hamilton, NJ 08690

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