Steven M. Coplin
ROCKEFELLER FINANCIAL | Financial Advisor
Naples, FL 34103
CRD#: 1999548
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Steven Michael CoplinROCKEFELLER FINANCIAL
Professional summary
Steven Michael Coplin, who also goes by Steven M Coplin, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Naples, Florida.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Steven has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 8 exams.
Question & Answer
What are your service offerings?
Insurance
Loans/credit services
Executive services/Equity comp...
Philanthropic services
Trust & estate planning
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
5M
Are you a "fiduciary"?
Yes
Aliases
Steven M Coplin
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Michael Coplin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Michael Coplin'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 15, 2026 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 4851 Tamiami Trail North Suite 200, Naples, FL 34103RIA
BD
CRD#: 291361
Naples, FL
Current
May 15, 2026 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 4851 Tamiami Trail North Suite 200, Naples, FL 34103RIA
BD
CRD#: 291361
Naples, FL
Past
December 13, 2010 - May 20, 2026
MORGAN STANLEY
RIA
CRD#: 149777
Naples, FL
Past
November 23, 2010 - May 20, 2026
MORGAN STANLEY
BD
CRD#: 149777
Naples, FL
Past
October 23, 2009 - November 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NAPLES, FL
Past
October 23, 2009 - November 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NAPLES, FL
Past
March 3, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
NAPLES, FL
Past
February 13, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
NAPLES, FL
Past
October 1, 1999 - February 25, 2004
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NAPLES, FL
Past
October 1, 1999 - February 25, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 9, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
April 30, 1996 - July 28, 1998
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
March 14, 1994 - April 16, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 23, 1990 - March 24, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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(5/15/2026)
RR
Alaska(5/15/2026)
RR
Arizona(5/15/2026)
RR
California(5/15/2026)
RR
Colorado(5/15/2026)
RR
Connecticut(5/15/2026)
RR
Delaware(5/20/2026)
RR
District of Columbia(5/15/2026)
RR
Florida(5/15/2026)
IAR
Florida(5/19/2026)
RR
Georgia(5/15/2026)
RR
Idaho(5/15/2026)
RR
Illinois(5/15/2026)
RR
Indiana(5/19/2026)
RR
Kentucky(5/15/2026)
RR
Maine(5/21/2026)
RR
Maryland(5/15/2026)
RR
Massachusetts(5/18/2026)
IAR
Massachusetts(5/19/2026)
RR
Michigan(5/15/2026)
RR
Missouri(5/15/2026)
RR
Nebraska(5/15/2026)
RR
Nevada(5/15/2026)
RR
New Hampshire(5/15/2026)
RR
New Jersey(5/15/2026)
RR
New Mexico(5/15/2026)
RR
New York(5/15/2026)
RR
North Carolina(5/15/2026)
RR
Ohio(5/15/2026)
RR
Oregon(5/15/2026)
RR
Pennsylvania(5/15/2026)
RR
Rhode Island(5/21/2026)
RR
South Carolina(5/27/2026)
RR
Tennessee(5/15/2026)
RR
Texas(5/15/2026)
IAR
Texas(5/15/2026)
RR
Vermont(5/15/2026)
RR
Virginia(5/15/2026)
RR
Washington(5/15/2026)
RR
Wisconsin(5/15/2026)
RR
Wyoming(5/15/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/28/1998
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
| 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 | 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
Financial AdvisorCRD#: 291361Naples, FL 34103TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
