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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

JESSICA ANN EMS

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

Chesterfield, MO | Dallas, TX

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Search this name across graphsid dfx:ria:ca134a51-91cd-b5a2-6a29-5ae647838331

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 16, 2020 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: Sep 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 19, 2008
First registration: Mar 16, 2020
Dual registered: yes, broker-dealer
Other names: JESSICA ANN BERRY|JESSICA ANN NAUMAN|JESSICA ANN KRUMREY
IAPD individual key: 5229744

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	Nov 30, 2023	n/a	yes	Chesterfield, MO\|Dallas, TX	Current employment
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	May 2, 2022	Nov 27, 2023	no	FRONTENAC, MO	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 13, 2021	Apr 29, 2022	no	CLAYTON, MO	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Mar 16, 2020	May 10, 2021	no	CLAYTON, MO\|FRONTENAC, MO	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
STIFEL, NICOLAUS & COMPANY, INCORPORATED	ROCKEFELLER CAPITAL MANAGEMENT	Nov 27, 2023	Nov 30, 2023	3	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Apr 29, 2022	May 2, 2022	3	Firm change	Wirehouse to ibd
STIFEL, NICOLAUS & COMPANY, INCORPORATED	WELLS FARGO ADVISORS	May 10, 2021	May 13, 2021	3	Firm change	Ibd to wirehouse

Relationships

Registered with (3)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Nov 30, 2023 to presentfactForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
May 2, 2022 to Nov 27, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 13, 2021 to Apr 29, 2022factForm ADV

Dated events

Occurred
Nov 27, 2023
Advisor changed firm
Jessica Ann Ems left Stifel, Nicolaus & Company, Incorporated for Rockefeller Capital Management (registered 2023-11-30)
Form ADVobserved 4 days ago
Occurred
Apr 29, 2022
Advisor changed firm
Jessica Ann Ems left Wells Fargo Advisors for Stifel, Nicolaus & Company, Incorporated (registered 2022-05-02)
Form ADVobserved 4 days ago