Dedra Brust

ROCKEFELLER CAPITAL MANAGEMENT

SARATOGA SPRINGS, NY 12866

Some features on this profile are disabled

CRD#: 5210391

Professional summary

Dedra Brust, CFP®, who also goes by Dedra Renee Bartlett, Dedra Renee Brust, Dedra R Brust, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Saratoga Springs, New York and ROCKEFELLER FINANCIAL LLC located in Saratoga Springs, New York.

Dedra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Dedra has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dedra Renee Bartlett | Dedra Renee Brust | Dedra R Brust

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) - RIA

Click below to view Dedra Brust's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Dedra Brust'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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

January 31, 2025 - Present

ROCKEFELLER CAPITAL MANAGEMENT

Office #1: 321 Broada, Saratoga Springs, NY 12866

RIA

CRD#: 294197

SARATOGA SPRINGS, NY

Current

January 31, 2025 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 321 Broadway, Saratoga Springs, NY 12866

RIA

CRD#: 291361

Saratoga Springs, NY

Current

January 31, 2025 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 321 Broadway, Saratoga Springs, NY 12866

RIA

CRD#: 291361

Saratoga Springs, NY

Past

August 4, 2021 - February 24, 2025

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

ALBANY, NY

Past

August 4, 2021 - February 24, 2025

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

ALBANY, NY

Past

August 10, 2017 - August 6, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Malta, NY

Past

August 10, 2017 - August 6, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Malta, NY

Past

December 11, 2009 - July 7, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SARATOGA SPRINGS, NY

Past

April 2, 2008 - July 7, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SARATOGA SPRINGS, 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".

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)

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.

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

Alabama
(1/31/2025)

Arkansas
(1/31/2025)

California
(1/31/2025)

Colorado
(1/31/2025)

Connecticut
(1/31/2025)

District of Columbia
(1/31/2025)

Florida
(1/31/2025)

Georgia
(1/31/2025)

Idaho
(1/31/2025)

Illinois
(1/31/2025)

Louisiana
(1/31/2025)

Maine
(1/31/2025)

Maryland
(1/31/2025)

Massachusetts
(1/31/2025)

Michigan
(1/31/2025)

Minnesota
(1/31/2025)

Missouri
(1/31/2025)

Montana
(1/31/2025)

Nevada
(1/31/2025)

New Hampshire
(1/31/2025)

New Jersey
(1/31/2025)

New York
(1/31/2025)

IAR

New York
(1/31/2025)

North Carolina
(1/31/2025)

Ohio
(1/31/2025)

Oregon
(1/31/2025)

Pennsylvania
(1/31/2025)

South Carolina
(1/31/2025)

Tennessee
(1/31/2025)

Texas
(1/31/2025)

IAR

Texas
(1/31/2025)

Vermont
(1/31/2025)

Virginia
(1/31/2025)

Washington
(1/31/2025)

Wisconsin
(1/31/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/27/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/1/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (8.25.25) (8/25/2025)

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (8.25.25) (8/25/2025)

Direct owners and executive officers

Name	Position	CRD#
RFS OPCO LLC ("OPCO")	MEMBER
ALEXANDER, MARK DAVID	PRINCIPAL OPERATIONS OFFICER	2202934
DUPUY, CHRISTOPHER TREVOR	PRESIDENT & CEO	1749982
KOWALSKI, DEIRDRE PATTEN	PRINCIPAL FINANCIAL OFFICER	1357509
MIRZA, RIZWAN MOHAMMAD	CCO	5080469
YANNOTTA, WILLIAM MICHAEL	CHIEF FINANCIAL OFFICER	5912733

Regulatory assets under management

Total Number of Accounts	76,628
AUM (Assets Under Management)	$ 70,030,224,514

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

Similar Advisors

Danielle Barrios

MORGAN STANLEY

IAR

Beverly Hills, CA

Eric Ellis

ELLIS FINANCIAL PLANNING

IAR

CLARKSVILLE, TN

Mark Surratt

TRANSAMERICA FINANCIAL ADVISORS, LLC

Centennial, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dedra Brust

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dedra Brust's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dedra Brust's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKEFELLER FINANCIAL LLC

ROCKEFELLER FINANCIAL LLC

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/27/2009

SIE

Date: 10/1/2018

Series 7

Date: 4/1/2008

FINRA

Current Firm

ROCKEFELLER FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROCKEFELLER FINANCIAL LLC

TRUST BUT VERIFY

Similar Advisors