Robert J. Carr

ROCKEFELLER CAPITAL MANAGEMENT

NY, NY 10111

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CRD#: 1299428

Professional summary

Robert J Carr, who also goes by Robert J Carr, Robert Carr, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Ny, New York and ROCKEFELLER FINANCIAL LLC located in New York, New York.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Robert has worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert J Carr | Robert Carr

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert J Carr's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Robert J Carr's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 14, 2025 - Present

ROCKEFELLER CAPITAL MANAGEMENT

Office #1: 45 Rockefeller Plaza 5th Floor, Ny, NY, 10111

RIA

CRD#: 294197

NY, NY

Current

February 14, 2025 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 45 Rockefeller Plaza, New York, NY 10111

RIA

CRD#: 291361

New York, NY

Current

February 14, 2025 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 45 Rockefeller Plaza, New York, NY 10111

RIA

CRD#: 291361

New York, NY

Past

February 26, 2020 - February 26, 2025

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

NEW YORK, NY

Past

February 11, 2020 - February 26, 2025

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

NEW YORK, NY

Past

September 22, 2008 - January 18, 2017

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

August 20, 2001 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

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)

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.

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

Alabama
(2/27/2025)

California
(2/27/2025)

Colorado
(2/26/2025)

Connecticut
(2/18/2025)

Delaware
(3/3/2025)

District of Columbia
(3/21/2025)

Florida
(3/3/2025)

Idaho
(2/25/2025)

Illinois
(3/5/2025)

Louisiana
(2/28/2025)

Maryland
(2/27/2025)

Massachusetts
(2/18/2025)

Minnesota
(2/26/2025)

New Jersey
(2/25/2025)

New York
(3/2/2025)

North Carolina
(2/27/2025)

Ohio
(2/14/2025)

Pennsylvania
(2/18/2025)

Rhode Island
(2/26/2025)

South Carolina
(2/26/2025)

Tennessee
(3/4/2025)

Texas
(2/14/2025)

IAR

Texas
(2/14/2025)

Utah
(2/14/2025)

Virginia
(3/4/2025)

Washington
(3/3/2025)

Wyoming
(2/18/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/24/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/19/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/18/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/19/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/17/2003

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (8.25.25) (8/25/2025)

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (8.25.25) (8/25/2025)

Direct owners and executive officers

Name	Position	CRD#
RFS OPCO LLC ("OPCO")	MEMBER
ALEXANDER, MARK DAVID	PRINCIPAL OPERATIONS OFFICER	2202934
DUPUY, CHRISTOPHER TREVOR	PRESIDENT & CEO	1749982
KOWALSKI, DEIRDRE PATTEN	PRINCIPAL FINANCIAL OFFICER	1357509
MIRZA, RIZWAN MOHAMMAD	CCO	5080469
YANNOTTA, WILLIAM MICHAEL	CHIEF FINANCIAL OFFICER	5912733

Regulatory assets under management

Total Number of Accounts	76,628
AUM (Assets Under Management)	$ 70,030,224,514

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
08/26/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Robert J. Carr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert J Carr's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Robert J Carr's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKEFELLER FINANCIAL LLC

ROCKEFELLER FINANCIAL LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/24/2020

Series 66

Date: 9/19/2016

SIE

Date: 1/18/2017

Series 7

Date: 8/17/2001

Series 10

Date: 11/19/2003

Series 9

Date: 4/17/2003

FINRA

Current Firm

ROCKEFELLER FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROCKEFELLER FINANCIAL LLC

TRUST BUT VERIFY

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