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Adviser and broker representative · Rockefeller Financial LLC

Douglas A. Moglia

CRD 6489296 · New York, NY

At a glance

Douglas A. Moglia is an investment adviser representative with Rockefeller Financial LLC in New York, NY, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Douglas’s SEC record dates to 2020, about 6 years ago. Douglas is also registered as a broker representative. Designations on file: Chartered Financial Analyst.

Current advisory firm

SEC adviser record

Registered since
2020 (6 years)
Designations
Chartered Financial Analyst
Exams
Series 63
Registered in
1 state
Also a broker representative
Yes
Disclosures on record
None

AtlasMembers

Douglas’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website
Locked
Previous firms, with start and end dates
1 firmLocked
Employment history
Locked
States they’re registered in
Locked
Outside business activities
Locked
When they joined their current firm, and their firm’s growth
Locked
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.

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