Jonathan R. Maldonado
ROCKEFELLER FINANCIAL LLC | Account Vice President
AUSTIN, TX 78701
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CRD#: 5553071
Professional summary
Jonathan Ray Maldonado, CFP®, who also goes by Jon Maldonado, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Austin, Texas.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Jonathan has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Investment Planning
Insurance Planning
Retirement Income Management
Retirement Planning
Education Planning
Comprehensive Financial Planni...
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Jon Maldonado
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) Capital City A&M Club / P.O. Box 332 Austin,Texas 78767 / Other/ Education / Local College Alumni Chapter / Member of Board of Directors / / VP of Scholarships / Start Date 01/01/2017/ Local College Alumni Chapter /
2/ Junior Achievement of Central Texas / 6001 Westcreek Dr. Austin, TX 78749 / No/ Active / Start Date 4/16/2019
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Ray Maldonado's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Ray Maldonado'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®
CFP®
Start date: 2015
Experience
Current
May 24, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 200 W 6th Street, Suite 2600, Austin, TX 78701RIA
BD
CRD#: 291361
AUSTIN, TX
Current
May 24, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 200 W 6th Street, Suite 2600, Austin, TX 78701RIA
BD
CRD#: 291361
AUSTIN, TX
Past
July 26, 2016 - June 10, 2024
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
AUSTIN, TX
Past
July 26, 2016 - June 10, 2024
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
AUSTIN, TX
Past
March 11, 2016 - July 26, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
AUSTIN, TX
Past
May 20, 2015 - December 31, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
IRVING, TX
Past
May 6, 2013 - December 31, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
IRVING, TX
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
Alabama(6/10/2024)
RR
California(5/24/2024)
RR
Delaware(5/24/2024)
RR
Florida(5/24/2024)
RR
Georgia(5/24/2024)
RR
Michigan(5/24/2024)
RR
Missouri(5/24/2024)
RR
Nevada(5/24/2024)
RR
New Jersey(5/24/2024)
RR
New Mexico(5/24/2024)
RR
North Carolina(5/24/2024)
RR
Ohio(11/13/2024)
RR
Oklahoma(5/24/2024)
RR
Pennsylvania(5/24/2024)
RR
Tennessee(5/24/2024)
RR
Texas(5/24/2024)
IAR
Texas(5/24/2024)
RR
Utah(5/24/2024)
RR
Virginia(5/24/2024)
RR
Washington(5/24/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROCKEFELLER FINANCIAL LLC
Account Vice PresidentCRD#: 291361Austin, TX 78701TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
