JL
John B. Lewis
ROCKEFELLER FINANCIAL LLC
Richmond, VA 23219
Some features on this profile are disabled
CRD#: 1828788
JL
Professional summary
John Bellinger Lewis, who also goes by John Lewis, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Richmond, Virginia.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. John has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Lewis
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) THE FAISON CENTERS FOR EXCELLENCE: START APPROX JAN 1 2010, NOT INVESTMENT RELATED, NOT PUBLICLY TRADED, 1701 BYRD AVE RICHMOND VA 23230, BOARD MEMBER, APPROX 3 HRS PER MONTH DURING NORMAL BUSINESS, NO COMP. 2) RX PARTNERSHIP, START 8/16, 2924 EMERYWOOD PKWY #300, RICHMOND, VA, SERVES AS BOARD MEMBER TO PROVIDE FREE MEDICINE FOR VA UNINSURED, NON-INVESTMENT RELATED, <4 HOURS PER MONTH DURING NON-WORK HOURS, NO COMPENSATION. 3) MASSEY CANCER CENTER. POSITION: Board Member NATURE: Cancer Research INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 05/04/2017. ADDRESS: 401 College Street, Richmond VA 23298 4) VA CEOS. POSITION: Member NATURE: Business organization with other business owners. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 06/30/2016. ADDRESS: 1500 Mactavish Ave, Richmond VA 23230 5) Lewis McClures Mill LLC, 267 McClure's Mill Road, Greenville VA 24440. Investment related. Owner since 08/31/2016. Inherited beef cattle operation with eight rental properties. He devotes 42 hours a month to the LLC and 3 hours during trading hours. 6) Lewis SPRINGLEIGH LLC, Virginia. Investment related. Owner since 2014. Rental property. He devotes about 30 hours a month to the LLC and zero hours during trading hours. 7) Lewis Christopher Lane LLC, Virginia. Investment related. Owner since 2023. Rental property. He devotes about 30 hours a month to the LLC and zero hours during trading hours. 8) Lewis Howardsville Road LLC, Virginia. Investment related. Co-Owner since 2021. Rental property. He devotes about 30 hours a month to the LLC and zero hours during trading hours. 9) GJC LLC, Virginia. Investment related. Co-Owner since 2021. Rental property. He devotes about 30 hours a month to the LLC and zero hours during trading hours. 10) Mama Lew's LLC, Virginia. Investment related. Owner since April 2022. Retail store. He devotes 12 hours a month to the LLC and zero hours during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view John Bellinger Lewis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Bellinger Lewis'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
February 1, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 200 S 10th Street, Suite 950, Richmond, VA 23219RIA
BD
CRD#: 291361
Richmond, VA
Current
February 1, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 200 S 10th Street, Suite 950, Richmond, VA 23219RIA
BD
CRD#: 291361
Richmond, VA
Past
February 17, 2021 - February 5, 2024
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
Richmond, VA
Past
February 17, 2021 - February 5, 2024
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
RICHMOND, VA
Past
February 24, 2014 - February 17, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
February 13, 2014 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
June 1, 2009 - February 21, 2014
MORGAN STANLEY
RIA
CRD#: 149777
RICHMOND, VA
Past
June 1, 2009 - February 21, 2014
MORGAN STANLEY
BD
CRD#: 149777
RICHMOND, VA
Past
April 9, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
RICHMOND, VA
Past
April 9, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
RICHMOND, VA
Past
June 28, 2005 - May 6, 2009
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
RICHMOND, VA
Past
June 27, 2005 - May 6, 2009
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
RICHMOND, VA
Past
June 21, 2002 - July 15, 2005
TRUIST SECURITIES, INC.
RIA
CRD#: 6271
RICHMOND, VA
Past
June 21, 2002 - June 30, 2005
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
October 25, 1994 - July 1, 2002
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
RICHMOND, VA
Past
May 9, 1994 - July 1, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 31, 1993 - July 1, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 21, 1992 - 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(2/5/2024)
RR
California(2/1/2024)
RR
Colorado(2/5/2024)
RR
Delaware(2/15/2024)
RR
Florida(6/13/2024)
RR
Georgia(2/1/2024)
RR
Illinois(2/1/2024)
RR
Maine(2/1/2024)
RR
Maryland(2/1/2024)
RR
Massachusetts(2/2/2024)
RR
Michigan(2/1/2024)
RR
Mississippi(2/1/2024)
RR
Nevada(2/1/2024)
RR
New Hampshire(2/1/2024)
RR
New Jersey(2/1/2024)
RR
New Mexico(2/1/2024)
RR
New York(2/1/2024)
RR
North Carolina(2/1/2024)
RR
Ohio(2/1/2024)
RR
Oklahoma(1/30/2025)
RR
Pennsylvania(2/1/2024)
RR
South Carolina(2/1/2024)
RR
Tennessee(2/1/2024)
RR
Texas(2/1/2024)
IAR
Texas(2/1/2024)
RR
Virginia(2/1/2024)
IAR
Virginia(2/1/2024)
RR
Washington(2/1/2024)
RR
West Virginia(2/1/2024)
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.
Company Information
ROCKEFELLER FINANCIAL LLC
CRD#: 291361Richmond, VA 23219TRUST BUT VERIFY
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