JP
John P. Perry
ROCKEFELLER FINANCIAL LLC
Charlotte, NC 28209
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CRD#: 1469239
JP
Professional summary
John Patrick Perry, who also goes by John Perry, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Charlotte, North Carolina and ROCKEFELLER CAPITAL MANAGEMENT located in Charlotte, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. John has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Perry
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.
*564534 - North Carolina High School Athletic Associataion; Investment related-No; Chapel Hill, North Carolina; Recreation; High School Football official (proprietor, partner, officer, director, employee, trustee, agent); 08/2023; During business hours: 0; After business hours: 8; High School Football Official
CRS (Client Relationship Summary) - RIA
Click below to view John Patrick Perry's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Patrick Perry'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
May 13, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209RIA
BD
CRD#: 291361
Charlotte, NC
Current
August 7, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 5605 Carnegie Blvd., Suite 150 & Suite 200, Charlotte, NC 28209RIA
CRD#: 294197
Charlotte, NC
Current
May 13, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209RIA
BD
CRD#: 291361
Charlotte, NC
Past
August 18, 2017 - January 3, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Charlotte, NC
Past
August 18, 2017 - January 3, 2024
MORGAN STANLEY
BD
CRD#: 149777
Charlotte, NC
Past
September 10, 2014 - May 17, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PENNINGTON, NJ
Past
September 9, 2014 - May 17, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 7, 2013 - March 6, 2014
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
January 7, 2013 - March 6, 2014
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
October 7, 2009 - December 11, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BRIDGEWATER, NJ
Past
August 17, 2004 - October 8, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BRIDGEWATER, NJ
Past
April 17, 1991 - December 11, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BRIDGEWATER, NJ
Past
November 30, 1988 - January 24, 1991
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
October 21, 1987 - May 25, 1988
OMNI MUTUAL, INC.
BD
CRD#: 10243
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
Alabama(5/13/2024)
RR
Alaska(5/13/2024)
RR
Arizona(5/13/2024)
RR
Arkansas(5/13/2024)
RR
California(5/13/2024)
RR
Colorado(5/13/2024)
RR
Connecticut(5/13/2024)
RR
Delaware(5/13/2024)
RR
District of Columbia(5/13/2024)
RR
Florida(5/13/2024)
RR
Georgia(5/13/2024)
RR
Hawaii(5/13/2024)
RR
Idaho(5/13/2024)
RR
Illinois(5/13/2024)
RR
Indiana(5/13/2024)
RR
Iowa(5/13/2024)
RR
Kansas(5/13/2024)
RR
Kentucky(5/13/2024)
RR
Louisiana(5/13/2024)
RR
Maine(5/13/2024)
RR
Maryland(5/13/2024)
RR
Massachusetts(5/13/2024)
RR
Michigan(5/13/2024)
RR
Minnesota(5/13/2024)
RR
Mississippi(5/13/2024)
RR
Missouri(5/13/2024)
RR
Montana(5/13/2024)
RR
Nebraska(5/13/2024)
RR
Nevada(5/13/2024)
RR
New Hampshire(5/13/2024)
RR
New Jersey(5/13/2024)
RR
New Mexico(5/13/2024)
RR
New York(5/13/2024)
RR
North Carolina(5/13/2024)
IAR
North Carolina(5/13/2024)
RR
North Dakota(5/13/2024)
RR
Ohio(5/14/2024)
RR
Oklahoma(5/13/2024)
RR
Oregon(5/13/2024)
RR
Pennsylvania(5/13/2024)
RR
Puerto Rico(5/13/2024)
RR
Rhode Island(5/13/2024)
RR
South Carolina(5/13/2024)
RR
South Dakota(5/13/2024)
RR
Tennessee(5/13/2024)
RR
Texas(5/13/2024)
IAR
Texas(5/13/2024)
RR
Utah(5/13/2024)
RR
Vermont(5/13/2024)
RR
Virgin Islands(5/13/2024)
RR
Virginia(5/13/2024)
RR
Washington(5/13/2024)
RR
West Virginia(5/13/2024)
RR
Wisconsin(5/13/2024)
RR
Wyoming(5/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/10/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
