Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

AdvisorLive

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's AdvisorLive helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

JP

John Patrick Perry

ROCKEFELLER FINANCIAL

Charlotte, NC

·CRD# 1469239·39 years experience

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,...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John Perry

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

Similar Advisors

David Blair Thompson

David Blair Thompson

SPARTA WEALTH PARTNERS

CHARLOTTE, NC · CRD#

David Perry Miller

ALLSTATE FINANCIAL SERVICES, LLC

CHARLOTTE, NC · CRD#

John Walter Sanders Jr.

PORTUS WEALTH ADVISORS, LLC

CHARLOTTE, NC · CRD#

Jessica Paige Williams

VANGUARD ADVISERS, INC.

CHARLOTTE, NC · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

David Blair Thompson

David Blair Thompson

SPARTA WEALTH PARTNERS

CHARLOTTE, NC · CRD#

David Perry Miller

ALLSTATE FINANCIAL SERVICES, LLC

CHARLOTTE, NC · CRD#

John Walter Sanders Jr.

PORTUS WEALTH ADVISORS, LLC

CHARLOTTE, NC · CRD#

Jessica Paige Williams

VANGUARD ADVISERS, INC.

CHARLOTTE, NC · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

David Blair Thompson

David Blair Thompson

SPARTA WEALTH PARTNERS

CHARLOTTE, NC · CRD#

David Perry Miller

ALLSTATE FINANCIAL SERVICES, LLC

CHARLOTTE, NC · CRD#

John Walter Sanders Jr.

PORTUS WEALTH ADVISORS, LLC

CHARLOTTE, NC · CRD#

Jessica Paige Williams

VANGUARD ADVISERS, INC.

CHARLOTTE, NC · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

David Blair Thompson

David Blair Thompson

SPARTA WEALTH PARTNERS

CHARLOTTE, NC · CRD#

David Perry Miller

ALLSTATE FINANCIAL SERVICES, LLC

CHARLOTTE, NC · CRD#

John Walter Sanders Jr.

PORTUS WEALTH ADVISORS, LLC

CHARLOTTE, NC · CRD#

Jessica Paige Williams

VANGUARD ADVISERS, INC.

CHARLOTTE, NC · CRD#

Years of Experience

39 years in the financial services industry

Current & Past Employments

ROCKEFELLER FINANCIAL LLC·CRD# 291361

RIA

BD

1. 5605 Carnegie Blvd., Suite 220, Charlotte, NC 282092. Rocky Mount, NC

May 13, 2024 - Present

ROCKEFELLER CAPITAL MANAGEMENT·CRD# 294197

RIA

5605 Carnegie Blvd., Suite 150 & Suite 200, Charlotte, NC 28209

August 7, 2024 - Present

ROCKEFELLER FINANCIAL LLC·CRD# 291361

RIA

BD

5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209

May 13, 2024 - Present

MORGAN STANLEY·CRD# 149777

RIA

Charlotte, NC

August 18, 2017 - January 3, 2024

MORGAN STANLEY·CRD# 149777

BD

Charlotte, NC

August 18, 2017 - January 3, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691

RIA

Pennington, NJ

September 10, 2014 - May 17, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691

BD

New York, NY

September 9, 2014 - May 17, 2017

UBS FINANCIAL SERVICES INC.·CRD# 8174

RIA

New York, NY

January 7, 2013 - March 6, 2014

UBS FINANCIAL SERVICES INC.·CRD# 8174

BD

New York, NY

January 7, 2013 - March 6, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691

RIA

Bridgewater, NJ

October 7, 2009 - December 11, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691

RIA

Bridgewater, NJ

August 17, 2004 - October 8, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691

BD

Bridgewater, NJ

April 17, 1991 - December 11, 2012

AMERIPRISE ADVISOR SERVICES, INC.·CRD# 5979

BD

Detroit, MI

November 30, 1988 - January 24, 1991

OMNI MUTUAL, INC.·CRD# 10243

BD

October 21, 1987 - May 25, 1988

Similar Advisors

David Blair Thompson

David Blair Thompson

SPARTA WEALTH PARTNERS

CHARLOTTE, NC · CRD#

David Perry Miller

ALLSTATE FINANCIAL SERVICES, LLC

CHARLOTTE, NC · CRD#

John Walter Sanders Jr.

PORTUS WEALTH ADVISORS, LLC

CHARLOTTE, NC · CRD#

Jessica Paige Williams

VANGUARD ADVISERS, INC.

CHARLOTTE, NC · CRD#

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)

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

1,005

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (03.31.26) (3/31/2026)

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (03.31.26) (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
RFS OPCO LLC ("OPCO")	MEMBER	—
ALEXANDER, MARK DAVID	PRINCIPAL OPERATIONS OFFICER	2202934
KOWALSKI, DEIRDRE PATTEN	PRINCIPAL FINANCIAL OFFICER	1357509
MIRZA, RIZWAN MOHAMMAD	CHIEF COMPLIANCE OFFICER	5080469
MORIARTY, EDMOND NICHOLAS	CO-CHIEF EXECUTIVE OFFICER	1744318
OUTLAW, MICHAEL WAYNE	CO-CHIEF EXECUTIVE OFFICER	2760690

Regulatory Assets Under Management

Total Number of Accounts

95,368

AUM (Assets Under Management)

$99,603,487,232

Disclosures

Regulatory Event

1

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

Similar Advisors

David Blair Thompson

David Blair Thompson

SPARTA WEALTH PARTNERS

CHARLOTTE, NC · CRD#

David Perry Miller

ALLSTATE FINANCIAL SERVICES, LLC

CHARLOTTE, NC · CRD#

John Walter Sanders Jr.

PORTUS WEALTH ADVISORS, LLC

CHARLOTTE, NC · CRD#

Jessica Paige Williams

VANGUARD ADVISERS, INC.

CHARLOTTE, NC · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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

Similar Advisors

David Blair Thompson

David Blair Thompson

SPARTA WEALTH PARTNERS

CHARLOTTE, NC · CRD#

David Perry Miller

ALLSTATE FINANCIAL SERVICES, LLC

CHARLOTTE, NC · CRD#

John Walter Sanders Jr.

PORTUS WEALTH ADVISORS, LLC

CHARLOTTE, NC · CRD#

Jessica Paige Williams

VANGUARD ADVISERS, INC.

CHARLOTTE, NC · CRD#

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

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)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 2010About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1987About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Apr 2012About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Aug 1987About the Series 7 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Jan 2023About the Series 9 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Jan 2023About the Series 10 exam

Series 24 — General Securities Principal Examination

Passed Dec 2007About the Series 24 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Jan 1997

FINRA

SRO Registrations

Similar Advisors

David Blair Thompson

David Blair Thompson

SPARTA WEALTH PARTNERS

CHARLOTTE, NC · CRD#

David Perry Miller

ALLSTATE FINANCIAL SERVICES, LLC

CHARLOTTE, NC · CRD#

John Walter Sanders Jr.

PORTUS WEALTH ADVISORS, LLC

CHARLOTTE, NC · CRD#

Jessica Paige Williams

VANGUARD ADVISERS, INC.

CHARLOTTE, NC · CRD#

CRS (Client Relationship Summary) - RIA

Click below to view John Patrick Perry's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view John Patrick Perry's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Similar Advisors

David Blair Thompson

David Blair Thompson

SPARTA WEALTH PARTNERS

CHARLOTTE, NC · CRD#

David Perry Miller

ALLSTATE FINANCIAL SERVICES, LLC

CHARLOTTE, NC · CRD#

John Walter Sanders Jr.

PORTUS WEALTH ADVISORS, LLC

CHARLOTTE, NC · CRD#

Jessica Paige Williams

VANGUARD ADVISERS, INC.

CHARLOTTE, NC · CRD#

JP

Follow John

Get alerted to job moves, licensing changes, and new disclosures

Free — no card required