KV
Krishna Phanindra S. Vege
ROCKEFELLER FINANCIAL LLC
Chicago, IL 60606
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CRD#: 6081639
KV
Professional summary
Krishna Phanindra Swaroop Vege, who also goes by Krishna S Vege Mr., Krishna S Vege, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Chicago, Illinois.
Krishna Phanindra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Krishna Phanindra has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Krishna S Vege Mr. | Krishna S Vege
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.
I*: 2100303Entity Type: Name of OBA: Rental Property 1Address: Los Angeles, ca 90024Investment Related: nPosition, Title, Association: Sole OwnerEmployee Start Date: 07/01/2021No Hours: 1hr/yrNo Hours during trading: 0Duties: I*2100304, Entity Type Entity For Profit, Name of OBA: Preserve Life Address: DouglasvilleGeorgia30135 Investment Related: No Position, Title, Association: Consultant/Independent Contractor Employee Start Date: 06/03/2024No Hours:4 monthly No Hours during trading: 0 monthly Duties: Conducted research on the health and wellness industry (prior to start of employment at bank of america merrill lynch).
CRS (Client Relationship Summary) - RIA
Click below to view Krishna Phanindra Swaroop Vege's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Krishna Phanindra Swaroop Vege'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
April 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 222 West Adams Suite 2450, Chicago, IL 60606RIA
BD
CRD#: 291361
Chicago, IL
Current
April 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 222 West Adams Suite 2450, Chicago, IL 60606RIA
BD
CRD#: 291361
Chicago, IL
Past
April 17, 2025 - November 6, 2025
ROCKEFELLER CAPITAL MANAGEMENT
RIA
CRD#: 294197
Chicago, IL
Past
December 20, 2024 - April 21, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHICAGO, IL
Past
December 17, 2024 - April 21, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHICAGO, IL
Past
August 13, 2013 - October 16, 2015
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
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
Alaska(4/17/2025)
RR
Arizona(4/17/2025)
RR
California(4/17/2025)
RR
Colorado(4/17/2025)
RR
Delaware(4/17/2025)
RR
Florida(4/17/2025)
RR
Hawaii(4/17/2025)
RR
Illinois(4/17/2025)
IAR
Illinois(4/17/2025)
RR
Indiana(4/17/2025)
RR
Iowa(4/17/2025)
RR
Minnesota(4/17/2025)
RR
Missouri(4/17/2025)
RR
Nevada(4/17/2025)
RR
New Jersey(4/17/2025)
RR
New York(4/17/2025)
RR
North Carolina(4/17/2025)
RR
Ohio(4/17/2025)
RR
Oregon(4/17/2025)
RR
Pennsylvania(4/17/2025)
RR
South Carolina(4/17/2025)
RR
Tennessee(4/17/2025)
RR
Texas(4/17/2025)
IAR
Texas(4/17/2025)
RR
Utah(4/17/2025)
RR
Virginia(4/17/2025)
RR
Wisconsin(4/17/2025)
RR
Wyoming(4/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/16/2024
General Securities Representative ExaminationGeneral Industry/Product 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
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.
