IMPORTANT LEGAL INFORMATION
Legal Entity Disclosure
Rockefeller Capital Management is the marketing name for Rockefeller Capital Management L.P. and its affiliates. Investment advisory and fiduciary activities are performed by the following affiliates of Rockefeller Capital Management: Rockefeller & Co. LLC, Rockefeller Trust Company, N.A. and The Rockefeller Trust Company (Delaware). Rockefeller Asset Management and Rockefeller Global Family Office are divisions of Rockefeller & Co. LLC. Rockefeller Financial LLC is dually registered as a broker dealer and registered investment adviser with the US Securities Exchange Commission, Member FINRA and SIPC.
You may find information on the background of Rockefeller Financial LLC and its financial professionals on FINRA’s BrokerCheck website: http://brokercheck.finra.org/.
Investing involves risk, including the possible loss of principal. Past performance is no guarantee of future results and no investment or financial planning strategy can guarantee profit or protection.
Neither Rockefeller Capital Management or its financial advisors provide legal, tax nor accounting advice to clients. Please consult your own legal and/or tax advisors in connection with financial decisions.
Routing and Execution Disclosures Made Pursuant to Rule of SEC Regulation NMS
Rule 606 of SEC Regulation NMS requires broker-dealers receiving non-directed client orders to publicly disclose, on a quarterly basis, the top execution venues to which such orders are routed for execution. In addition, broker-dealers must disclose material aspects of the relationships they maintain with the identified execution venues. Rockefeller Financial LLC client orders in NMS securities are executed by and through its fully disclosed clearing and custodial firm, National Financial LLC (member NYSE\SIPC).
The Rule 606 statistics for Rockefeller Financial LLC is available for public review by clicking here.
Disclaimer. Rockefeller Financial LLC and its affiliates do not represent, warrant, or guarantee that the Reports are accurate. Rockefeller disclaims liability for any direct, indirect, punitive, special, consequential, or incidental damages related to the Reports or the use of the Reports. The information provided in the Reports may be impacted by market data system outages or errors, both internal and external, and it is dependent upon the integrity and accuracy of data provided by outside sources. Certain assumptions have been made in preparing the Reports, and changes to the assumptions may have a material impact on results. The Reports do not endorse or recommend any particular security or market participant.
This disclaimer applies to the Reports in their entirety, irrespective of whether the Reports are used or viewed in whole or in part, and may be reviewed at any time by accessing the “Disclaimer” posted on the web page where the Reports are made available.
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