ES
Ekaterina O. Slepkova
ROCKEFELLER FINANCIAL LLC
Winter Park, FL 32789
Some features on this profile are disabled
CRD#: 7081060
ES
Professional summary
Ekaterina Olegovna Slepkova, who also goes by Ekaterina Slepkova, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Winter Park, Florida.
Ekaterina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Ekaterina has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ekaterina Slepkova
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.
NOTARY POSITION: Notary NATURE: Notary services in State of Florida INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/27/2021 ADDRESS: , Winter Park FL , United States DESCRIPTION: Notarizing signatures
CRS (Client Relationship Summary) - RIA
Click below to view Ekaterina Olegovna Slepkova's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ekaterina Olegovna Slepkova'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
June 16, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 271 West Canton Ave., Suite 100, Winter Park, FL 32789RIA
BD
CRD#: 291361
Winter Park, FL
Current
June 16, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 271 West Canton Ave., Suite 100, Winter Park, FL 32789RIA
BD
CRD#: 291361
Winter Park, FL
Past
October 5, 2021 - June 23, 2023
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
WINTER PARK, FL
Past
September 21, 2021 - June 23, 2023
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
WINTER PARK, FL
Past
June 9, 2021 - September 8, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WINTER PARK, FL
Past
June 27, 2019 - September 8, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WINTER PARK, FL
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(6/16/2023)
RR
Arizona(6/30/2025)
RR
California(6/16/2023)
RR
Colorado(6/16/2023)
RR
District of Columbia(3/8/2024)
RR
Florida(6/16/2023)
IAR
Florida(6/23/2023)
RR
Georgia(6/16/2023)
RR
Illinois(6/16/2023)
RR
Maine(6/16/2023)
RR
Michigan(6/16/2023)
RR
Minnesota(6/16/2023)
RR
Montana(10/9/2024)
RR
Nevada(6/16/2023)
RR
New Jersey(1/15/2025)
RR
North Carolina(6/16/2023)
RR
Ohio(6/16/2023)
RR
Tennessee(6/16/2023)
RR
Texas(6/16/2023)
IAR
Texas(6/16/2023)
RR
Virginia(6/16/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/14/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 6/27/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
