Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vivian? Claim Your ProfileVivian Capano is a financial advisor with Rockefeller Financial LLC, based in Hamilton, NJ. Vivian has been in the financial services industry since 2007. Prior to joining Rockefeller Financial LLC, Vivian worked at TD PRIVATE CLIENT WEALTH LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, MetLife Securities Inc. and Metropolitan Life Insurance Company. Vivian holds the Series 3, 4, 6, 7, 9, 10, 24, 31, 66 and SIE licenses. Vivian is registered in New Jersey. Rockefeller Financial LLC is a Registered Investment Advisor with a strong reputation in the industry. The firm offers a variety of financial services, including portfolio management, financial planning, and investment advisory services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NJ
08/17/2022 - Present
Rockefeller Financial LLC (HAMILTON NJ)
NJ
03/25/2022 - 08/19/2022
TD PRIVATE CLIENT WEALTH LLC (Mt. Laurel NJ)
NJ
10/12/2012 - 03/07/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)
NY
06/05/2006 - 12/05/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MA
08/08/2001 - 10/12/2001
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
08/08/2001 - 10/12/2001
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BOTH
Issued 07/21/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/19/2017
Series 4 - Registered Options Principal Examination
BC
Issued 01/04/2017
Series 24 - General Securities Principal Examination
BC
Issued 11/29/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/19/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/06/2019
Series 31 - Futures Managed Funds Examination
BC
Issued 03/16/2019
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/02/2006
Series 7 - General Securities Representative Examination
BC
Issued 08/07/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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