Angela K. Cagwin
Professional summary
Angela Kolb Cagwin, who also goes by Angela Kolb Cagwin, Angela Noella Kolb, Angela Kolb, Angela N Kolb, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Springfield, Illinois.
Angela is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Angela has worked at 13 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Angela Kolb Cagwin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Angela Kolb Cagwin's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 2, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #2: 3721 Valley Centre Drive, San Diego, CA 92130May 6, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3721 Valley Centre Drive, San Diego, CA 92130November 4, 2019 - November 24, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 1, 2019 - November 24, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 22, 2018 - September 11, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 21, 2018 - September 11, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 26, 2017 - January 31, 2018
M HOLDINGS SECURITIES, INC.
September 26, 2017 - January 31, 2018
M HOLDINGS SECURITIES, INC.
April 7, 2016 - September 27, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 31, 2016 - September 27, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 21, 2015 - March 2, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 10, 2015 - March 2, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 18, 2012 - October 10, 2014
CALTON & ASSOCIATES, INC.
November 28, 2012 - October 10, 2014
CALTON & ASSOCIATES, INC.
August 15, 2012 - November 14, 2012
NEUBERGER BERMAN BD LLC
August 14, 2012 - November 14, 2012
NEUBERGER BERMAN BD LLC
January 9, 2012 - August 16, 2012
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
December 8, 2011 - August 16, 2012
FIRST REPUBLIC SECURITIES COMPANY, LLC
August 24, 2011 - December 9, 2011
LARSON FINANCIAL GROUP, LLC
August 24, 2011 - November 29, 2011
LARSON FINANCIAL SECURITIES, LLC
December 15, 2009 - August 19, 2011
MORGAN STANLEY
October 29, 2009 - August 19, 2011
MORGAN STANLEY
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
(5/6/2022)
(5/6/2022)
(8/8/2025)
(5/2/2022)
(5/6/2022)
(5/6/2022)
(5/6/2022)
(10/24/2024)
(10/24/2024)
(5/6/2022)
(5/6/2022)
(5/6/2022)
(3/5/2023)
(5/6/2022)
(3/6/2023)
(5/6/2022)
Exams
Series 7TO
Date: 3/13/2022
General Securities Representative ExaminationFINRA
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
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.
