LK
Laurence H. Knowlton
ROCKEFELLER FINANCIAL LLC
RYE BEACH, NH
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CRD#: 1383052
LK
Professional summary
Laurence Heimburg Knowlton is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Rye Beach, New Hampshire.
Laurence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Laurence has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 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.
Name of business:85 Lafayette Road, LLC �,� Full business address:*5 Lafayette Road, North Hampton, NH 03862 �,� the nature of the other business: Rental Property �,� Is the business investment-related: No �,� position, title, or association with the other business: Secretary �,� Please describe your duties: Administrative �,� the start date of your relationship with the business: October 2019 �,� the approximate number of hours per month you devote to the business: 20 minutes �,� the number of hours you devote to the other business during securities trading hours: none 2) - 224 Atlantic Ave LLC; Investment related. North Hampton, NH; Managing Partner; 02/20/2022; 1 hours a month and 0 hours during trading hours. Rental property.
CRS (Client Relationship Summary) - RIA
Click below to view Laurence Heimburg Knowlton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Laurence Heimburg Knowlton'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
November 12, 2021 - Present
ROCKEFELLER FINANCIAL LLC
RIA
BD
CRD#: 291361
RYE BEACH, NH
Current
May 14, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 222 West Adams Suite 2450, Chicago, IL 60606RIA
BD
CRD#: 291361
Chicago, IL
Past
January 28, 1995 - June 3, 2021
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BOSTON, MA
Past
May 6, 1993 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
July 24, 1985 - May 28, 1993
LEHMAN BROTHERS INC.
BD
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".
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(5/14/2021)
RR
California(5/14/2021)
RR
Colorado(6/29/2021)
RR
Connecticut(5/14/2021)
RR
Delaware(5/21/2021)
RR
District of Columbia(5/14/2021)
RR
Florida(5/14/2021)
RR
Georgia(5/20/2021)
RR
Illinois(5/20/2021)
RR
Louisiana(5/14/2021)
RR
Maine(5/17/2021)
RR
Maryland(5/14/2021)
RR
Massachusetts(6/14/2021)
RR
Michigan(5/14/2021)
RR
Nevada(5/14/2021)
RR
New Hampshire(5/14/2021)
IAR
New Hampshire(11/12/2021)
RR
New Jersey(5/14/2021)
RR
New York(5/14/2021)
RR
Ohio(5/14/2021)
RR
Oklahoma(5/14/2021)
RR
Oregon(5/14/2021)
RR
Pennsylvania(5/14/2021)
RR
South Dakota(6/16/2023)
RR
Tennessee(5/14/2021)
RR
Texas(5/20/2021)
IAR
Texas(11/12/2021)
RR
Utah(5/18/2021)
RR
Vermont(5/14/2021)
RR
Virginia(5/14/2021)
RR
Washington(5/14/2021)
RR
Wisconsin(5/14/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
