Nicholas Joseph Peterson
Investment adviser representative at Rockefeller Capital Management
12 yearsExperience
2 statesRegistered in
$99.6BFirm assets
8 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
12 years in the industry.
- Rockefeller Capital ManagementFeb 2024 to now
- Rockefeller Financial LLCMay 2022 to now
- First Republic Investment Management, Inc.Apr 2022 to May 2022
- First Republic Securities Company, LLCApr 2022 to May 2022
- Morgan StanleySep 2018 to Apr 2022
- UnemployedMay 2018 to Sep 2018
- Minnesota LifeJul 2014 to May 2018
- Securian Financial Services Inc.Jul 2014 to May 2018
- Sgc Financuial Services Inc.Jul 2014 to May 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2013
- Series 65 · Uniform Investment Adviser Law2015
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
Rockefeller Capital Management
Legal name: Rockefeller Financial LLC
$99.6BAssets managed
50,292Clients
692Advisers
8 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6118736
- Firm CRD
- 291361