Stephanie B Walsh
Investment Adviser Representative at Rockefeller Capital Management
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Stephanie B. Walsh is an investment adviser representative with Rockefeller Capital Management in Chesterfield, MO, where they have been registered since 2021. They have worked in the securities industry since 2012 and were previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Missouri and Texas.
Office
Advisors at this office: 11
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Missouri, Texas
- Broker:
33 states and territories
Arizona, California, Colorado, Connecticut, Florida, Georgia, Illinois, Indiana, Kansas, Maryland, Massachusetts, Michigan, Mississippi, Missouri, Nebraska, Nevada, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Virginia, Washington, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Merrill LynchFeb 2012 – May 2021Chesterfield, MO
- BANK OF America, N.A.Jul 2018 – May 2021Chesterfield, MO
- Rockefeller Financial LLCMay 2021 – no end date reportedChesterfield, MO
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Rockefeller Capital Management
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Estimated blended rate
- 0.0125
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 995
- Offices listed on AdvisorFinder:
- 47
- Main office:
- New York, NY
- SEC file number:
- 801-114033
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 31, 2026
View full firm profileOther advisors at Rockefeller Capital Management
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Stephanie B Walsh has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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