Raymond L. Chase
ROCKEFELLER CAPITAL MANAGEMENT | Private Wealth Advisor
Ponte Vedra, FL
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CRD#: 1703047
Professional summary
Raymond L. Chase, CFP®, who also goes by Ray Chase, Raymond Lasson Chase, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Ponte Vedra, Florida and ROCKEFELLER FINANCIAL LLC located in Florham Park, New Jersey.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Raymond has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9 and Series 10 exams.
Question & Answer
What are your service offerings?
Financial planning
Trading individual securities
Insurance
Trust & estate planning
Loans/credit services
Philanthropic services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
2M
Are you a "fiduciary"?
Yes
Aliases
Ray Chase | Raymond Lasson Chase
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.
1) Fort Ticonderoga Association/ investment related?: no/ Ticonderoga, New York, 12883/advise and support executive director, vote on issues facing the organization/ Fort Ticonderoga is a museum, cultural destination, historic site, and educational organization./start date: 1/21/2022
CRS (Client Relationship Summary) - RIA
Click below to view Raymond L. Chase's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Raymond L. Chase'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®
CFP®
Start date: 1994
Education
Finance
1980 - 1984
Experience
Current
April 16, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
RIA
CRD#: 294197
Ponte Vedra, FL
Current
April 16, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 180 Park Ave, Suite 110, Florham Park, NJ 07932RIA
BD
CRD#: 291361
Florham Park, NJ
Current
April 16, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 180 Park Ave, Suite 110, Florham Park, NJ 07932RIA
BD
CRD#: 291361
Florham Park, NJ
Past
April 27, 2012 - April 25, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PONTE VEDRA BEACH, FL
Past
April 27, 2012 - April 25, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PONTE VEDRA BEACH, FL
Past
July 15, 1997 - May 1, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHESTER, NJ
Past
February 20, 1996 - May 1, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHESTER, NJ
Past
July 31, 1993 - February 29, 1996
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 21, 1987 - July 31, 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
Alabama(4/25/2025)
RR
Arizona(4/16/2025)
RR
California(4/16/2025)
RR
Colorado(4/16/2025)
RR
Connecticut(4/16/2025)
RR
Delaware(4/16/2025)
RR
District of Columbia(4/16/2025)
RR
Florida(4/16/2025)
IAR
Florida(4/21/2025)
RR
Indiana(4/16/2025)
RR
Iowa(4/16/2025)
RR
Maryland(4/16/2025)
RR
Massachusetts(4/16/2025)
RR
Michigan(4/16/2025)
RR
Nevada(4/16/2025)
RR
New Hampshire(4/16/2025)
RR
New Jersey(4/16/2025)
IAR
New Jersey(4/16/2025)
RR
New Mexico(4/16/2025)
RR
New York(4/16/2025)
RR
North Carolina(4/16/2025)
RR
Ohio(4/16/2025)
RR
Oklahoma(4/16/2025)
RR
Pennsylvania(4/16/2025)
RR
Rhode Island(4/16/2025)
RR
South Carolina(4/16/2025)
RR
Tennessee(4/16/2025)
RR
Texas(4/16/2025)
IAR
Texas(4/16/2025)
RR
Vermont(4/16/2025)
RR
Virginia(4/16/2025)
RR
Washington(4/16/2025)
RR
Wyoming(4/16/2025)
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
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROCKEFELLER FINANCIAL LLC
Private Wealth AdvisorCRD#: 291361Ponte Vedra, FLTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
