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Stacy L. Swain
ROCKEFELLER FINANCIAL LLC
Walnut Creek, CA 94596
Some features on this profile are disabled
CRD#: 1141500
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Professional summary
Stacy Lee Swain, who also goes by Stacy L Denison, Stacy Lee Denison, Stacy Denison, Stacy L Swain, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Walnut Creek, California.
Stacy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Stacy has worked at 6 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stacy L Denison | Stacy Lee Denison | Stacy Denison | Stacy L Swain
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I am a registered representative of First Republic Securities Company, LLC, an SEC and FINRA registered broker-dealer. I am an associated person of First Republic Investment Management, Inc. (Firm CRD# 108559), an SEC registered investment adviser. The majority of my time is devoted to activities for First Republic Investment Management, Inc. Both First Republic Securities Company, LLC and First Republic Investment Management, Inc. are under 'common control' of First Republic Bank.
CRS (Client Relationship Summary) - RIA
Click below to view Stacy Lee Swain's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stacy Lee Swain's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 27, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1850 Mt Diablo Boulevard - Suite 300, Walnut Creek, CA 94596RIA
BD
CRD#: 291361
Walnut Creek, CA
Current
March 27, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1850 Mt Diablo Boulevard - Suite 300, Walnut Creek, CA 94596RIA
BD
CRD#: 291361
Walnut Creek, CA
Past
March 18, 2016 - April 24, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
Walnut Creek, CA
Past
March 18, 2016 - April 24, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
Walnut Creek, CA
Past
October 24, 2012 - March 22, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN FRANCISCO, CA
Past
February 13, 2012 - March 22, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN FRANCISCO, CA
Past
March 25, 2005 - November 28, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN FRANCISCO, CA
Past
April 28, 1989 - November 28, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN FRANCISCO, CA
Past
December 14, 1987 - November 30, 1989
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
March 6, 1985 - June 4, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
June 14, 1983 - January 29, 1985
TD AMERITRADE, INC.
BD
CRD#: 7870
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(4/7/2023)
RR
Arizona(4/6/2023)
RR
California(3/28/2023)
IAR
California(3/28/2023)
RR
Colorado(3/28/2023)
RR
Connecticut(3/28/2023)
RR
District of Columbia(3/31/2023)
RR
Florida(4/3/2023)
RR
Idaho(4/3/2023)
RR
Illinois(9/7/2023)
RR
Indiana(3/30/2023)
RR
Louisiana(4/17/2023)
RR
Massachusetts(3/28/2023)
RR
Nevada(5/8/2023)
RR
New Hampshire(6/21/2023)
RR
New Mexico(11/16/2023)
RR
New York(4/8/2023)
RR
Ohio(3/27/2023)
RR
Oklahoma(4/3/2023)
RR
Oregon(4/3/2023)
RR
Pennsylvania(3/28/2023)
RR
South Carolina(3/31/2023)
RR
Tennessee(3/28/2023)
IAR
Texas(3/27/2023)
RR
Texas(3/28/2023)
RR
Utah(3/28/2023)
RR
Vermont(4/25/2023)
RR
Virginia(4/24/2023)
RR
Washington(4/26/2023)
RR
Wisconsin(3/28/2023)
RR
Wyoming(3/29/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Phone number
(212) 549-5100
Established
Delaware since 10/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
824
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROCKEFELLER FINANCIAL LLC
CRD#: 291361Walnut Creek, CA 94596TRUST BUT VERIFY
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