Laura N. Pennington

ROCKEFELLER FINANCIAL LLC

Palm Beach Gardens, FL 33410

Some features on this profile are disabled

CRD#: 2122111

Professional summary

Laura Nafis Pennington, CFP®, CIMA®, who also goes by Laura Jeanne Nafis, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Palm Beach Gardens, Florida.

Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Laura has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Comprehensive Financial Planni...

Insurance Planning

Estate Planning

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

Laura Jeanne Nafis

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.

Ms. Pennington is also a Board Member of the Washington International Horse Show. Her Board membership began in January 2011

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Nafis Pennington's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Laura Nafis Pennington'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: 2006

CIMA^®

Certified Investment Management Analyst

Experience

Current

January 31, 2020 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410

RIA

CRD#: 291361

Palm Beach Gardens, FL

Current

January 31, 2020 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410

RIA

CRD#: 291361

Palm Beach Gardens, FL

Past

February 12, 2009 - February 11, 2020

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WASHINGTON, DC

Past

February 12, 2009 - February 11, 2020

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WASHINGTON, DC

Past

April 2, 2007 - February 13, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

WASHINGTON, DC

Past

April 2, 2007 - February 13, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

WASHINGTON, DC

Past

March 4, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WASHINGTON, DC

Past

July 12, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

WASHINGTON, DC

Past

April 10, 2000 - May 1, 2001

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

June 21, 1994 - April 7, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

February 15, 1994 - June 10, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 2, 1991 - November 29, 1993

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

California
(1/31/2020)

Colorado
(1/31/2020)

Connecticut
(1/31/2020)

Delaware
(1/31/2020)

District of Columbia
(1/31/2020)

IAR

District of Columbia
(2/11/2020)

Florida
(1/31/2020)

Georgia
(1/31/2020)

Maine
(1/31/2020)

Maryland
(1/31/2020)

Michigan
(1/31/2020)

New Jersey
(1/31/2020)

New York
(1/31/2020)

Ohio
(1/31/2020)

Oregon
(1/31/2020)

Pennsylvania
(1/31/2020)

South Carolina
(1/31/2020)

Tennessee
(12/13/2022)

Texas
(1/31/2020)

IAR

Texas
(1/31/2020)

Virginia
(1/31/2020)

IAR

Virginia
(10/13/2023)

Washington
(1/31/2020)

West Virginia
(1/31/2020)

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: 7/27/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/21/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/1/1991

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 ADV 2A BROCHURE (8.25.25) (8/25/2025)

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (8.25.25) (8/25/2025)

Direct owners and executive officers

Name	Position	CRD#
RFS OPCO LLC ("OPCO")	MEMBER
ALEXANDER, MARK DAVID	PRINCIPAL OPERATIONS OFFICER	2202934
DUPUY, CHRISTOPHER TREVOR	PRESIDENT & CEO	1749982
KOWALSKI, DEIRDRE PATTEN	PRINCIPAL FINANCIAL OFFICER	1357509
MIRZA, RIZWAN MOHAMMAD	CCO	5080469
YANNOTTA, WILLIAM MICHAEL	CHIEF FINANCIAL OFFICER	5912733

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Robert Burns

J.P. MORGAN SECURITIES LLC

IAR

Palm Beach Gardens, FL

Spencer Carpenter Iv

TRUIST ADVISORY SERVICES, INC.

IAR

WEST PALM BEACH, FL

Benjamin Silberman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Palm Beach Gardens, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Laura N. Pennington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Nafis Pennington's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Laura Nafis Pennington's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKEFELLER FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CIBC WORLD MARKETS CORP.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/1994

Series 63

Date: 6/19/1991

SIE

Date: 10/1/2018

Series 3

Date: 10/21/1994

Series 7

Date: 5/1/1991

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

Contact information

Similar Advisors