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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

CYNTHIA GUERRERO

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

MONTCLAIR, CA | Newport Beach, CA | Los Angeles, CA

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Search this name across graphsid dfx:ria:43ebbe57-d8cc-10ee-18e4-c68a4296bdd9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 22, 2004 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ROCKEFELLER CAPITAL MANAGEMENT
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 19, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 2
Registered states: 2
Exams: S66
First exam: Nov 19, 2004
First registration: Nov 22, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4854665

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Aug 7, 2024	n/a	yes	Newport Beach, CA	Current employment
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Mar 29, 2023	n/a	yes	Los Angeles, CA\|Newport Beach, CA\|MONTCLAIR, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Mar 11, 2020	Mar 29, 2023	no	BEVERLY HILLS, CA\|BEVERLY HILLS, CA\|PASADENA, CA\|WESTLAKE VILLAGE, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 14, 2019	Mar 19, 2020	no	BEVERLY HILLS, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Nov 6, 2019	no	PASADENA, CA\|CHARLOTTE, NC	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Nov 22, 2004	Jan 3, 2011	no	PASADENA, CA\|COVINA, CA\|COVINA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	ROCKEFELLER CAPITAL MANAGEMENT	Mar 29, 2023	Mar 29, 2023	0	Firm change	Wirehouse to ibd
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Mar 19, 2020	Mar 11, 2020	-8	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	UBS FINANCIAL SERVICES INC.	Nov 6, 2019	Nov 14, 2019	8	Firm change	Wirehouse to wirehouse
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
8174:19616:CA:2020-03-19	Mar 19, 2020	Mar 11, 2020	BEVERLY HILLS, CA	Firm change

Relationships

Registered with (5)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Aug 7, 2024 to presentfactForm ADV
→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Mar 29, 2023 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 11, 2020 to Mar 29, 2023factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 14, 2019 to Mar 19, 2020factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Nov 22, 2004 to Jan 3, 2011factForm ADV

Dated events

Occurred
Mar 29, 2023
Advisor changed firm
Cynthia Guerrero left Wells Fargo Advisors for Rockefeller Capital Management (registered 2023-03-29)
Form ADVobserved 4 days ago