Thomas G. Eastwood

ROCKEFELLER FINANCIAL LLC

Winter Park, FL 32789

Some features on this profile are disabled

CRD#: 2054207

Professional summary

Thomas Gilbert Eastwood JR, CFP®, who also goes by Tom Eastwood Jr, Tommy Eastwood Jr, Thomas G Eastwood Jr Jr, Thomas G Eastwood Jr. Jr, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Winter Park, Florida.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Eastwood Jr | Tommy Eastwood Jr | Thomas G Eastwood Jr Jr | Thomas G Eastwood Jr. Jr

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Gilbert Eastwood JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Thomas Gilbert Eastwood JR's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 1997

Experience

Current

December 18, 2025 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 271 West Canton Ave., Suite 100, Winter Park, FL 32789

RIA

CRD#: 291361

Winter Park, FL

Current

December 17, 2025 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 271 West Canton Ave., Suite 100, Winter Park, FL 32789

RIA

CRD#: 291361

Winter Park, FL

Past

July 2, 2010 - December 18, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WINTER PARK, FL

Past

June 25, 2010 - December 18, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WINTER PARK, FL

Past

June 1, 2009 - July 2, 2010

MORGAN STANLEY

RIA

CRD#: 149777

ORLANDO, FL

Past

June 1, 2009 - July 2, 2010

MORGAN STANLEY

CRD#: 149777

ORLANDO, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

ORLANDO, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

ORLANDO, FL

Past

November 8, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ORLANDO, FL

Past

November 5, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

ORLANDO, FL

Past

April 24, 1998 - November 19, 2004

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

BAY HILL, FL

Past

April 24, 1998 - November 19, 2004

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

May 22, 1991 - April 28, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 2, 1990 - March 1, 1991

HIBBARD BROWN & CO., INC.

CRD#: 18246

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".

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)

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.

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

Alabama
(12/19/2025)

Arizona
(12/17/2025)

California
(12/17/2025)

Colorado
(12/17/2025)

Connecticut
(12/17/2025)

Delaware
(12/17/2025)

Florida
(12/17/2025)

IAR

Florida
(12/18/2025)

Georgia
(12/17/2025)

Illinois
(12/17/2025)

Indiana
(1/7/2026)

Kentucky
(12/17/2025)

Massachusetts
(12/22/2025)

New Jersey
(12/17/2025)

New York
(12/17/2025)

North Carolina
(12/17/2025)

Oregon
(12/17/2025)

Rhode Island
(12/17/2025)

South Carolina
(12/17/2025)

Tennessee
(12/17/2025)

Texas
(1/20/2026)

IAR

Texas
(1/20/2026)

Virginia
(12/17/2025)

Wisconsin
(12/17/2025)

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

State Security Law Exam

IAR

Series 65

Date: 4/19/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/13/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/22/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/1/1990

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (12.24.25) (12/26/2025)

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (12.24.25) (12/24/2025)

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

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
09/27/2023	Cover Page	Report

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.

Similar Advisors

John Hoover

MAIA WEALTH

IAR

Dallas, TX

Jack Jerzewski

LPL ENTERPRISE, LLC

IAR

TROY, MI

Zhenyang Zhu

PEAK6 CAPITAL MANAGEMENT LLC

CHICAGO, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas G. Eastwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Gilbert Eastwood JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas Gilbert Eastwood JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKEFELLER FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

HIBBARD BROWN & CO., INC.

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/19/1996

Series 63

Date: 8/13/1990

SIE

Date: 10/1/2018

Series 31

Date: 4/22/2005

Series 7

Date: 8/1/1990

FINRA

Current Firm

ROCKEFELLER FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROCKEFELLER FINANCIAL LLC

TRUST BUT VERIFY

Similar Advisors