Rockefeller Capital Management has appointed Michael Solomon as General Counsel of Rockefeller Financial, the firm’s broker-dealer.
As General Counsel of the broker-dealer, Solomon will lead the legal and compliance efforts across the Private Wealth Management and Strategic Advisory businesses. In this role, he will provide legal advice, address regulatory examinations and inquiries, and enhance the firm’s compliance and surveillance systems.
“We are building a world-class broker-dealer, and that requires a world-class legal and compliance team,” says Gregory J Fleming (pictured), President & CEO of Rockefeller Capital Management. “Michael is a proven leader who brings a wealth of experience as a senior regulator and gifted lawyer, and is committed to the highest legal and ethical standards.”
Prior to joining Rockefeller in March, Solomon will have spent more than seven years at FINRA, most recently as the senior regional director of FINRA’s New York, Philadelphia, Boston, and Woodbridge-NJ District Offices, responsible for the Examination and Surveillance Programs in the Northeast and overseeing a staff of 350 people. Prior to joining FINRA in 2011, he served as General Counsel for Litigation, Regulatory and Employment law at Jefferies & Co, and before that held senior positions with UBS Financial Services and Merrill Lynch.
At Rockefeller, Solomon will report to Jon Eisenberg, the General Counsel of Rockefeller Capital Management. He has a JD from New York University School of Law and an undergraduate degree from Wesleyan University.