CB
Christian J. Borodiak
ROCKEFELLER FINANCIAL LLC
FORT LAUDERDALE, FL 33301
Some features on this profile are disabled
CRD#: 7363104
CB
Professional summary
Christian John Borodiak is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Fort Lauderdale, Florida.
Christian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Christian has worked at 1 firm and has passed the Series 66, SIE and Series 7TO exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Christian John Borodiak's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christian John Borodiak'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
March 3, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 515 E Las Olas Blvd Suite 1650, Fort Lauderdale, FL 33301RIA
BD
CRD#: 291361
FORT LAUDERDALE, FL
Current
January 6, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 515 E Las Olas Blvd Suite 1650, Fort Lauderdale, FL 33301RIA
BD
CRD#: 291361
FORT LAUDERDALE, 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
Arizona(3/9/2023)
RR
California(3/9/2023)
RR
Colorado(3/9/2023)
RR
Connecticut(3/9/2023)
RR
Delaware(3/9/2023)
RR
District of Columbia(3/9/2023)
RR
Florida(1/9/2023)
IAR
Florida(3/3/2023)
RR
Georgia(3/9/2023)
RR
Hawaii(3/9/2023)
RR
Idaho(3/9/2023)
RR
Illinois(3/9/2023)
RR
Louisiana(3/9/2023)
RR
Maine(3/9/2023)
RR
Maryland(3/9/2023)
RR
Massachusetts(3/9/2023)
RR
Michigan(3/9/2023)
RR
Minnesota(3/9/2023)
RR
Missouri(3/9/2023)
RR
Nevada(3/9/2023)
RR
New Jersey(3/9/2023)
RR
New Mexico(3/9/2023)
RR
New York(3/9/2023)
RR
North Carolina(3/9/2023)
RR
Ohio(3/10/2023)
RR
Oregon(3/9/2023)
RR
Pennsylvania(3/9/2023)
RR
South Carolina(3/9/2023)
RR
Tennessee(3/9/2023)
RR
Texas(3/9/2023)
IAR
Texas(3/9/2023)
RR
Utah(3/9/2023)
RR
Virginia(3/9/2023)
RR
Wyoming(3/9/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/30/2022
General Securities Representative ExaminationSRO 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
ROCKEFELLER FINANCIAL LLC
CRD#: 291361Fort Lauderdale, FL 33301TRUST BUT VERIFY
Monitor Christian Borodiak
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
