BO
Brenda Oconnor
ROCKEFELLER FINANCIAL LLC
MIAMI, FL
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CRD#: 5165842
BO
Professional summary
Brenda Oconnor is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Miami, Florida.
Brenda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Brenda has worked at 4 firms and has passed the Series 66, SIE, Series 7TO, Series 37 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Brenda Oconnor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brenda Oconnor'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
December 19, 2025 - Present
ROCKEFELLER FINANCIAL LLC
RIA
BD
CRD#: 291361
MIAMI, FL
Current
December 19, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Past
September 29, 2020 - January 2, 2026
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
Miami, FL
Past
July 25, 2020 - January 2, 2026
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CORAL GABLES, FL
Past
September 30, 2015 - December 28, 2015
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
TORONTO,
Past
August 31, 2015 - December 28, 2015
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
November 28, 2007 - August 5, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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.
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
Arizona(12/19/2025)
RR
California(12/19/2025)
RR
Colorado(12/19/2025)
RR
Connecticut(12/19/2025)
RR
Delaware(12/19/2025)
RR
District of Columbia(12/19/2025)
RR
Florida(12/19/2025)
IAR
Florida(12/23/2025)
RR
Georgia(12/19/2025)
RR
Illinois(12/19/2025)
RR
Maryland(12/19/2025)
RR
Massachusetts(12/19/2025)
RR
Minnesota(12/19/2025)
RR
Nevada(12/19/2025)
RR
New Jersey(12/19/2025)
RR
New York(12/19/2025)
RR
North Carolina(12/19/2025)
RR
Ohio(12/19/2025)
RR
Oregon(12/19/2025)
RR
Puerto Rico(12/19/2025)
RR
South Carolina(12/19/2025)
RR
South Dakota(12/19/2025)
RR
Tennessee(12/19/2025)
RR
Texas(12/19/2025)
IAR
Texas(12/19/2025)
RR
Utah(12/19/2025)
RR
Virginia(12/19/2025)
RR
Washington(12/19/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/25/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 37
Date: 8/31/2015
Canada Module of the General Securities Registered Representative (With Options Questions)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
| 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.
