Richard H. Carrier
Professional summary
Richard Henry Carrier, who also goes by Richard Carrier, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Hamilton, New Jersey.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 9 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 9, Series 10, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Henry Carrier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Henry Carrier's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 3, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1395 Yardsville Square Road, Hamilton, NJ 08691March 2, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza Floor 5, New York, NY 10111March 19, 2019 - February 26, 2020
AXIOM CAPITAL MANAGEMENT, INC.
December 21, 2018 - February 1, 2019
SUMMIT FINANCIAL, LLC
June 7, 2002 - September 27, 2018
SUMMIT FINANCIAL RESOURCES INC
June 5, 2002 - December 21, 2018
SUMMIT EQUITIES, INC.
June 27, 1997 - October 29, 2018
SUMMIT EQUITIES, INC.
July 22, 1996 - July 9, 1997
CETERA WEALTH SERVICES, LLC
March 26, 1993 - August 15, 1996
QUEST CAPITAL STRATEGIES, INC.
October 6, 1992 - February 9, 1993
AMERIPRISE ADVISOR SERVICES, INC.
February 8, 1991 - May 6, 1992
PERSHING LLC
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/2/2020)
(3/3/2020)
(3/2/2020)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
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.
Company Information
ROCKEFELLER FINANCIAL LLC
CRD#: 291361Hamilton, NJ 08691TRUST BUT VERIFY
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