SS
Sharath P. Shetty
ROCKEFELLER FINANCIAL LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 5029291
SS
Professional summary
Sharath P Shetty, who also goes by Sharath, Sharath Prabhakar P Shetty, is a registered financial professional currently at ROCKEFELLER FINANCIAL LLC located in New York, New York.
Sharath is registered as a RR (Registered Representative) and started their career in finance in 2005. Sharath has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sharath | Sharath Prabhakar P Shetty
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.
CRS (Client Relationship Summary) - BD
Click below to view Sharath P Shetty'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
November 30, 2018 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 437 Madison Avenue - Suite 2701, New York, NY 10022RIA
BD
CRD#: 291361
New York, NY
Past
May 14, 2018 - November 14, 2018
AXIOM CAPITAL MANAGEMENT, INC.
BD
CRD#: 26580
NEW YORK, NY
Past
May 8, 2014 - February 15, 2018
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
October 18, 2005 - April 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Alabama(11/30/2018)
RR
Alaska(11/30/2018)
RR
Arizona(11/30/2018)
RR
Arkansas(11/30/2018)
RR
California(11/30/2018)
RR
Colorado(11/30/2018)
RR
Connecticut(11/30/2018)
RR
Delaware(11/30/2018)
RR
District of Columbia(11/30/2018)
RR
Florida(11/30/2018)
RR
Georgia(11/30/2018)
RR
Hawaii(12/12/2018)
RR
Idaho(11/30/2018)
RR
Illinois(11/30/2018)
RR
Indiana(11/30/2018)
RR
Iowa(11/30/2018)
RR
Kansas(11/30/2018)
RR
Kentucky(11/30/2018)
RR
Louisiana(11/30/2018)
RR
Maine(11/30/2018)
RR
Maryland(11/30/2018)
RR
Massachusetts(11/30/2018)
RR
Michigan(11/30/2018)
RR
Minnesota(3/11/2019)
RR
Mississippi(11/30/2018)
RR
Missouri(12/4/2018)
RR
Montana(11/30/2018)
RR
Nebraska(12/18/2018)
RR
Nevada(11/30/2018)
RR
New Hampshire(12/13/2018)
RR
New Jersey(11/30/2018)
RR
New Mexico(12/12/2018)
RR
New York(11/30/2018)
RR
North Carolina(12/3/2018)
RR
North Dakota(11/30/2018)
RR
Ohio(12/3/2018)
RR
Oklahoma(11/30/2018)
RR
Oregon(11/30/2018)
RR
Pennsylvania(11/30/2018)
RR
Puerto Rico(1/11/2019)
RR
Rhode Island(11/30/2018)
RR
South Carolina(11/30/2018)
RR
South Dakota(11/30/2018)
RR
Tennessee(11/30/2018)
RR
Texas(11/30/2018)
RR
Utah(11/30/2018)
RR
Vermont(11/30/2018)
RR
Virgin Islands(11/30/2018)
RR
Virginia(11/30/2018)
RR
Washington(11/30/2018)
RR
West Virginia(12/12/2018)
RR
Wisconsin(11/30/2018)
RR
Wyoming(11/30/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
