SA
Sean B. Arnold
ROCKEFELLER FINANCIAL LLC
Newtown, PA 18940
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CRD#: 6435739
SA
Professional summary
Sean Brendan Arnold, CFP®, who also goes by Sean B Arnold, Sean Arnold, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Newtown, Pennsylvania and ROCKEFELLER CAPITAL MANAGEMENT located in Newtown, Pennsylvania.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Sean has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean B Arnold | Sean Arnold
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.
Dickinson College Football Alumni Council; Non-investment related; 28 N College St, Carlisle, PA 17013; Education; Secretary; 04/26/2017; 3 hours per month and 0 hours during trading hours. Alumni Association
CRS (Client Relationship Summary) - RIA
Click below to view Sean Brendan Arnold's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sean Brendan Arnold'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: 2022
Experience
Current
October 18, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 4 Caufield Place Suite 101, Newtown, PA 18940RIA
BD
CRD#: 291361
Newtown, PA
Current
October 30, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 4 Caufield Place Suite 102, Newtown, PA 18940RIA
CRD#: 294197
Newtown, PA
Current
October 18, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 4 Caufield Place Suite 101, Newtown, PA 18940RIA
BD
CRD#: 291361
Newtown, PA
Past
March 22, 2017 - October 24, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
YARDLEY, PA
Past
March 22, 2017 - October 24, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
YARDLEY, PA
Past
November 30, 2016 - March 20, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
FT WASHINGTON, PA
Past
November 30, 2016 - March 20, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
FT WASHINGTON, PA
Past
August 2, 2016 - November 30, 2016
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
Fort Washington, PA
Past
March 9, 2016 - November 30, 2016
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Fort Washington, PA
Past
May 5, 2015 - March 9, 2016
SEI INVESTMENTS DISTRIBUTION CO.
BD
CRD#: 10690
OAKS, PA
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(10/18/2024)
RR
California(10/18/2024)
RR
Colorado(10/18/2024)
RR
Connecticut(10/18/2024)
RR
Delaware(10/18/2024)
RR
District of Columbia(10/18/2024)
RR
Florida(10/18/2024)
RR
Georgia(10/18/2024)
RR
Illinois(10/18/2024)
RR
Indiana(10/18/2024)
RR
Kansas(10/18/2024)
RR
Maine(10/18/2024)
RR
Maryland(10/18/2024)
RR
Massachusetts(10/18/2024)
RR
Michigan(10/18/2024)
RR
New Hampshire(10/18/2024)
RR
New Jersey(10/18/2024)
RR
New York(10/18/2024)
RR
North Carolina(10/18/2024)
RR
Ohio(10/18/2024)
RR
Oregon(10/18/2024)
RR
Pennsylvania(10/18/2024)
IAR
Pennsylvania(10/18/2024)
RR
Rhode Island(10/18/2024)
RR
Tennessee(10/18/2024)
RR
Texas(10/18/2024)
IAR
Texas(10/18/2024)
RR
Virginia(10/18/2024)
RR
Washington(10/18/2024)
RR
Wisconsin(10/18/2024)
RR
Wyoming(10/18/2024)
Exams
State Security Law Exam
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.
