Jennifer D. Wolf
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.
Jennifer Diane Wolf, who also goes by Jennifer D Wolf, Jennifer Diane Wolf, Jennifer Wolf, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 2005. Jennifer had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2021 - March 20, 2026
ROCKEFELLER FINANCIAL LLC
January 4, 2021 - March 20, 2026
ROCKEFELLER FINANCIAL LLC
January 17, 2019 - June 5, 2019
PURSHE KAPLAN STERLING INVESTMENTS
March 17, 2017 - December 14, 2020
AVESTAR CAPITAL, LLC
September 4, 2013 - March 20, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 2013 - March 20, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 4, 2011 - September 8, 2011
TD AMERITRADE, INC.
May 4, 2011 - September 8, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 21, 2011 - September 8, 2011
TD AMERITRADE, INC.
May 29, 2007 - July 24, 2009
CITIGROUP GLOBAL MARKETS INC.
May 9, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
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
Current 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
| Name | Position | CRD# |
|---|---|---|
| RFS OPCO LLC ("OPCO") | MEMBER | |
| ALEXANDER, MARK DAVID | PRINCIPAL OPERATIONS OFFICER | 2202934 |
| KOWALSKI, DEIRDRE PATTEN | PRINCIPAL FINANCIAL OFFICER | 1357509 |
| MIRZA, RIZWAN MOHAMMAD | CHIEF COMPLIANCE OFFICER | 5080469 |
| MORIARTY, EDMOND NICHOLAS | CO-CHIEF EXECUTIVE OFFICER | 1744318 |
| OUTLAW, MICHAEL WAYNE | CO-CHIEF EXECUTIVE OFFICER | 2760690 |
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.
