EP
Edward R. Phillipp
ROCKEFELLER FINANCIAL
Chicago, IL 60606
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CRD#: 827572
EP
Edward Robert PhillippROCKEFELLER FINANCIAL
Professional summary
Edward Robert Phillipp, who also goes by Edward R Phillipp, Edward Robert Phillipp Jr, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Chicago, Illinois.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Edward has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, PC, Series 7, Series 9, Series 10 and Series 8 exams.
Aliases
Edward R Phillipp | Edward Robert Phillipp Jr
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.
Dakota Pacific Real Estate Fund; 299 South Main Street, Salt Lake, UT, 84111; Real Estate Investment Partnership; Advisory Board; Direct Investment in Real Estate Fund; 06/01/2017; 8.00 Hour(s) Per Year; Not during securities trading hours; Investment- Related Six Ridge; Investment Related; 2800 East Cottonwood Pkwy; Real Estate; Advisory Board Member; 07/11/2016; Less that one hour per month; 0 hours during trading hours; Real Estate investment
CRS (Client Relationship Summary) - RIA
Click below to view Edward Robert Phillipp's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward Robert Phillipp'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
September 4, 2026 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 222 West Adams Suite 2450, Chicago, IL 60606RIA
BD
CRD#: 291361
Chicago, IL
Current
September 4, 2026 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 222 West Adams Suite 2450, Chicago, IL 60606RIA
BD
CRD#: 291361
Chicago, IL
Past
December 4, 2015 - September 10, 2026
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
CHICAGO, IL
Past
December 4, 2015 - September 10, 2026
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
CHICAGO, IL
Past
January 21, 2009 - December 4, 2015
BARCLAYS CAPITAL INC.
RIA
CRD#: 19714
CHICAGO, IL
Past
September 22, 2008 - December 4, 2015
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
CHICAGO, IL
Past
September 9, 1997 - October 15, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
CHICAGO, IL
Past
June 26, 1984 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
CHICAGO, IL
Past
August 27, 1979 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
BD
CRD#: 7555
Past
September 26, 1978 - September 20, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
September 22, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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(9/4/2026)
RR
Arkansas(9/4/2026)
RR
California(9/4/2026)
RR
Colorado(9/4/2026)
RR
Connecticut(9/4/2026)
RR
Florida(9/4/2026)
RR
Georgia(9/4/2026)
RR
Illinois(9/4/2026)
IAR
Illinois(9/4/2026)
RR
Massachusetts(9/4/2026)
RR
Michigan(9/4/2026)
RR
Missouri(9/4/2026)
RR
Nebraska(9/4/2026)
RR
New Jersey(9/4/2026)
RR
New York(9/4/2026)
RR
Ohio(9/4/2026)
RR
South Dakota(9/4/2026)
RR
Tennessee(9/4/2026)
RR
Texas(9/4/2026)
IAR
Texas(9/4/2026)
RR
Utah(9/4/2026)
RR
Wisconsin(9/4/2026)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Passed: 8/20/1979
AMEX Put and Call ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
RR
Series 9
Passed: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Passed: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 8
Passed: 3/9/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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
1,005
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFS OPCO LLC ("OPCO") | MEMBER | |
| ALEXANDER, MARK DAVID | PRINCIPAL OPERATIONS OFFICER | 2202934 |
| KOWALSKI, DEIRDRE PATTEN | PRINCIPAL FINANCIAL OFFICER | 1357509 |
| MIRZA, RIZWAN MOHAMMAD | CHIEF COMPLIANCE OFFICER | 5080469 |
| MORIARTY, EDMOND NICHOLAS | CO-CHIEF EXECUTIVE OFFICER | 1744318 |
| OUTLAW, MICHAEL WAYNE | CO-CHIEF EXECUTIVE OFFICER | 2760690 |
Regulatory assets under management
| Total Number of Accounts | 95,368 |
| AUM (Assets Under Management) | $ 99,603,487,232 |
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#: 291361Chicago, IL 60606TRUST BUT VERIFY
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