JE
Jessica A. Ems
ROCKEFELLER FINANCIAL LLC
Chesterfield, MO 63017
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CRD#: 5229744
JE
Professional summary
Jessica Ann Ems, who also goes by Jessica Ann Berry, Jessica Ann Krumrey, Jessica Ann Nauman, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Chesterfield, Missouri.
Jessica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Jessica has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jessica Ann Berry | Jessica Ann Krumrey | Jessica Ann Nauman
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.
1. Notary; 1448 Heritage Valley Drive, High Ridge, MO 63049; Notary; 04/29/2022; 1 Hour per Quarter; Not During Securities Trading Hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Jessica Ann Ems's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jessica Ann Ems'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, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 16090 Swingley Ridge Road, Chesterfield, MO 63017RIA
BD
CRD#: 291361
Chesterfield, MO
Current
November 30, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 16090 Swingley Ridge Road, Chesterfield, MO 63017RIA
BD
CRD#: 291361
Chesterfield, MO
Past
May 2, 2022 - November 27, 2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
FRONTENAC, MO
Past
May 2, 2022 - November 27, 2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
FRONTENAC, MO
Past
May 13, 2021 - April 29, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ST. LOUIS, MO
Past
May 13, 2021 - April 29, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 16, 2020 - May 10, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
FRONTENAC, MO
Past
May 26, 2008 - May 10, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
FRONTENAC, MO
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(12/1/2023)
RR
California(12/1/2023)
RR
Colorado(12/1/2023)
RR
Connecticut(4/15/2024)
RR
Florida(12/4/2023)
RR
Georgia(12/1/2023)
RR
Illinois(12/1/2023)
RR
Indiana(12/1/2023)
RR
Kansas(12/1/2023)
RR
Maryland(5/24/2024)
RR
Massachusetts(12/1/2023)
RR
Michigan(1/24/2024)
RR
Mississippi(12/1/2023)
RR
Missouri(11/30/2023)
IAR
Missouri(11/30/2023)
RR
Nebraska(12/1/2023)
RR
Nevada(12/1/2023)
RR
New Jersey(12/1/2023)
RR
New York(12/1/2023)
RR
North Carolina(12/1/2023)
RR
North Dakota(4/12/2024)
RR
Ohio(12/1/2023)
RR
Oklahoma(1/28/2025)
RR
Pennsylvania(12/1/2023)
RR
Rhode Island(12/1/2023)
RR
South Carolina(12/1/2023)
RR
Tennessee(12/1/2023)
RR
Texas(12/1/2023)
IAR
Texas(12/2/2023)
RR
Utah(12/1/2023)
RR
Virginia(12/1/2023)
RR
Washington(12/1/2023)
RR
Wisconsin(12/1/2023)
RR
Wyoming(12/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
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
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.
Company Information
ROCKEFELLER FINANCIAL LLC
CRD#: 291361Chesterfield, MO 63017TRUST BUT VERIFY
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