Adviser and broker representative · Rockefeller Financial LLC
Karen Y. Henderson
CRD 4070925 · Los Angeles, CA
At a glance
Karen Y. Henderson is an investment adviser representative with Rockefeller Financial LLC in Los Angeles, CA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Karen’s SEC record dates to 2005, about 21 years ago. Karen is also registered as a broker representative.
Current advisory firm
- Rockefeller Financial LLCSince May 2022Los Angeles, CA · $100B in regulatory assets
SEC adviser record
- Registered since
- 2005 (21 years)
- Designations
- None on file
- Exams
- Series 66
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Karen’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
- 3 firmsLocked
- 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
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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