NB
Nick M. Bapis
ROCKEFELLER FINANCIAL LLC
Salt Lake City, UT 84109
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CRD#: 11962
NB
Professional summary
Nick M Bapis is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Salt Lake City, Utah and ROCKEFELLER CAPITAL MANAGEMENT located in Salt Lake City, Utah.
Nick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Nick has worked at 9 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, Series 1, Series 24, Series 53, Series 12 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Nick Bapis has been acting as Trustee and/or Co-Trustee for several years (before he became registered with Rockefeller) for a few current client accounts, which the Firm does have on file. Two of the individuals that Nick serves Trustee for are his nephew and his niece. Although not technically considered "immediate family members" as per FINRA 5130, we find it important to note that there is a familial relation involved. Lastly Nick is Co-Trustee (along with one other people) for four brothers whose father, a longtime family friend passed away. Mr. Bapis is not compensated in his role as Trustee/Co-Trustee for ANY of these accounts.
CRS (Client Relationship Summary) - RIA
Click below to view Nick M Bapis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nick M Bapis'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
June 3, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2603 East Parleys Way, Salt Lake City, UT 84109RIA
BD
CRD#: 291361
Salt Lake City, UT
Current
December 18, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 2603 East Parleys Way, Salt Lake City, UT 84109RIA
CRD#: 294197
Salt Lake City, UT
Current
May 31, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2603 East Parleys Way, Salt Lake City, UT 84109RIA
BD
CRD#: 291361
Salt Lake City, UT
Past
September 7, 2018 - January 17, 2020
AXIOM CAPITAL MANAGEMENT, INC.
BD
CRD#: 26580
Salt Lake City, UT
Past
November 7, 2008 - September 12, 2018
HIGHTOWER ADVISORS, LLC
RIA
CRD#: 145323
SALT LAKE CITY, UT
Past
November 7, 2008 - September 12, 2018
HIGHTOWER SECURITIES, LLC
BD
CRD#: 116681
SALT LAKE CITY, UT
Past
April 2, 2007 - November 10, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SALT LAKE CITY, UT
Past
April 2, 2007 - November 10, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SALT LAKE CITY, UT
Past
November 29, 1991 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SALT LAKE CITY, UT
Past
February 15, 1988 - May 9, 1991
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
January 25, 1988 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
SALT LAKE CITY, UT
Past
July 18, 1973 - February 15, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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
Arizona(1/17/2020)
RR
Arkansas(1/17/2020)
RR
California(6/6/2019)
RR
Colorado(6/6/2019)
RR
Connecticut(1/1/2020)
RR
District of Columbia(1/17/2020)
RR
Florida(6/6/2019)
RR
Georgia(6/6/2019)
RR
Hawaii(3/6/2023)
RR
Idaho(6/6/2019)
RR
Illinois(6/6/2019)
RR
Kansas(1/17/2020)
RR
Louisiana(1/17/2020)
RR
Maryland(6/6/2019)
RR
Massachusetts(1/1/2020)
RR
Michigan(1/1/2020)
RR
Minnesota(1/1/2020)
RR
Missouri(1/17/2020)
RR
Montana(6/13/2019)
RR
Nevada(1/1/2020)
RR
New Hampshire(9/25/2023)
RR
New Jersey(6/6/2019)
RR
New York(5/31/2019)
RR
North Carolina(11/17/2022)
RR
Ohio(1/2/2020)
RR
Oklahoma(1/10/2020)
RR
Oregon(1/1/2020)
RR
Pennsylvania(1/1/2020)
RR
South Carolina(1/17/2020)
RR
South Dakota(1/1/2020)
RR
Tennessee(2/16/2021)
RR
Texas(6/6/2019)
IAR
Texas(10/1/2021)
IAR
Texas(12/18/2024)
IAR
Utah(6/3/2019)
RR
Utah(1/17/2020)
RR
Virgin Islands(6/21/2024)
RR
Virginia(1/1/2020)
RR
Washington(6/6/2019)
RR
Wyoming(6/6/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/29/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 6/13/1979
NYSE Branch Manager ExaminationPrincipal/Supervisory Exam
RR
Series 40
Date: 5/8/1978
Registered Principal ExaminationSRO 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROCKEFELLER FINANCIAL LLC
CRD#: 291361Salt Lake City, UT 84109TRUST BUT VERIFY
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Contact information
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