JU
John G. Uriostegui
ROCKEFELLER FINANCIAL LLC
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 2072448
JU
Professional summary
John George Uriostegui JR, CIMA®, who also goes by John George Uriostegui, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Los Angeles, California and ROCKEFELLER CAPITAL MANAGEMENT located in Los Angeles, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John George Uriostegui
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.
I*101344 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: VOLLEYSKILLS INVESTMENT RELATED: N ADDRESS OF BUSINESS: HERMOSA BEACH, CALIFORNIA 90254 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: OTHER, BOARD MEMBER START DATE OF RELATIONSHIP: 5/2/2016 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FIND GYM SPACE FOR CLINICS AND HELP WITH TECHNOLOGY 2) USA Lending and Loans, 1611 S Pacific Coast, Hwy # 102, Redondo Beach, CA 90277; Investment Related; Lending residential commercial and private money mortgages; President and Board Member since 09/01/2021; Devotes 8 hours per month. 4 hours during not trading hours and 4 hours a month during trading hours. 3) 3 kidz 2 dogz Inc; Investment related; Manhattan Beach, CA; Real estate consulting and investments; President; 2/28/2025. 4 hours a month and 0 hours during trading hours. Entity is being used for investment purposes.
CRS (Client Relationship Summary) - RIA
Click below to view John George Uriostegui JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John George Uriostegui JR'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®
Experience
Current
August 16, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2000 Avenue Of The Stars Suite 530 N, Los Angeles, CA 90067RIA
BD
CRD#: 291361
Los Angeles, CA
Current
August 12, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 2000 Avenue Of The Stars, Los Angeles, CA 90067RIA
CRD#: 294197
Los Angeles, CA
Current
August 15, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2000 Avenue Of The Stars Suite 530 N, Los Angeles, CA 90067RIA
BD
CRD#: 291361
Los Angeles, CA
Past
November 28, 2016 - August 16, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
EL SEGUNDO, CA
Past
November 28, 2016 - August 16, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
EL SEGUNDO, CA
Past
October 14, 2011 - December 1, 2016
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
LOS ANGELES, CA
Past
October 14, 2011 - December 1, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
LOS ANGELES, CA
Past
August 23, 2006 - October 24, 2011
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
LOS ANGELES, CA
Past
August 23, 2006 - October 24, 2011
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
LOS ANGELES, CA
Past
July 8, 1997 - August 25, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
EL SEGUNDO, CA
Past
July 31, 1993 - August 25, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
EL SEGUNDO, CA
Past
May 22, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 2, 1990 - May 22, 1991
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Arizona(8/15/2022)
RR
California(8/15/2022)
IAR
California(8/16/2022)
RR
Connecticut(8/15/2022)
RR
Delaware(8/15/2022)
RR
Florida(8/15/2022)
RR
Georgia(1/16/2025)
RR
Hawaii(9/12/2022)
RR
Michigan(10/17/2023)
RR
Nevada(8/15/2022)
RR
New York(8/15/2022)
RR
North Carolina(5/22/2023)
RR
Oregon(3/15/2024)
RR
Pennsylvania(1/22/2025)
RR
Texas(9/25/2025)
IAR
Texas(9/26/2025)
RR
Utah(8/15/2022)
RR
Washington(8/15/2022)
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.
