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RR

Raveen Rathi

ROCKEFELLER FINANCIAL LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 7548542
RR

Professional summary

Raveen Rathi is a registered financial professional currently at ROCKEFELLER FINANCIAL LLC located in Chicago, Illinois.

Raveen is registered as a RR (Registered Representative) and started their career in finance in 2023. Raveen has worked at 2 firms and has passed the Series 7TO, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Raveen Rathi's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 29, 2025 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 222 West Adams Suite 2450, Chicago, IL 60606
RIA
BD
CRD#: 291361
Chicago, IL
Past

July 17, 2023 - May 14, 2025

MOELIS & COMPANY LLC

BD
CRD#: 145115
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 8/14/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/17/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/1/2023
Securities Industry Essentials Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (8.25.25) (8/25/2025)
ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (8.25.25) (8/25/2025)

Direct owners and executive officers

NamePositionCRD#
RFS OPCO LLC ("OPCO")MEMBER
ALEXANDER, MARK DAVIDPRINCIPAL OPERATIONS OFFICER2202934
DUPUY, CHRISTOPHER TREVORPRESIDENT & CEO1749982
KOWALSKI, DEIRDRE PATTENPRINCIPAL FINANCIAL OFFICER1357509
MIRZA, RIZWAN MOHAMMADCCO5080469
YANNOTTA, WILLIAM MICHAELCHIEF FINANCIAL OFFICER5912733

Regulatory assets under management

Total Number of Accounts76,628
AUM (Assets Under Management)$ 70,030,224,514

Disclosures

Regulatory Event1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/24/2025
Cover Page
Report
08/26/2024
Cover Page
Report
09/27/2023
Cover Page
Report

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#: 291361Chicago, IL 60606

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