LW
Lance A. Williams
ROCKEFELLER FINANCIAL LLC
Waikoloa Beach, HI
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CRD#: 2164760
LW
Professional summary
Lance Alexander Williams, CFP®, who also goes by Lance A Williams, Lance Williams, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Waikoloa Beach, Hawaii.
Lance is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Lance has worked at 7 firms and has passed the Series 65, Series 63, Series 72, SIE, Series 7 and Series 3 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Retirement Planning
Socially Responsible Investing
Insurance Planning
Investment Planning
Estate Planning
Small Business Planning
Health Care
Education Planning
Are you a "fiduciary"?
Yes
Aliases
Lance A Williams | Lance Williams
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 Lance Alexander Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lance Alexander Williams'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®
CFP®
Start date: 2015
Experience
Current
June 11, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #2: 711 S Capitol Way, Suite 705, Olympia, WA 98501RIA
BD
CRD#: 291361
Waikoloa Beach, HI
Current
June 11, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #2: 711 S Capitol Way, Suite 705, Olympia, WA 98501RIA
BD
CRD#: 291361
Waikoloa Beach, HI
Past
October 23, 2009 - June 15, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
OLYMPIA, WA
Past
October 23, 2009 - June 15, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
OLYMPIA, WA
Past
April 25, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
OLYMPIA, WA
Past
April 23, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
OLYMPIA, WA
Past
May 2, 2001 - May 1, 2003
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
August 19, 1996 - May 2, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
August 29, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
BD
CRD#: 17101
Past
January 6, 1995 - November 15, 1995
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
November 22, 1992 - December 2, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Alaska(7/2/2021)
RR
Arizona(6/11/2021)
RR
Arkansas(2/9/2024)
RR
California(6/11/2021)
RR
Colorado(7/6/2021)
RR
Florida(6/11/2021)
RR
Hawaii(6/16/2021)
RR
Idaho(6/16/2021)
RR
Illinois(6/11/2021)
RR
Kentucky(6/11/2021)
RR
Maine(11/22/2021)
RR
Massachusetts(9/15/2022)
RR
Michigan(7/6/2021)
RR
Missouri(1/18/2022)
RR
Montana(6/11/2021)
RR
Nevada(6/11/2021)
RR
New Hampshire(8/30/2021)
RR
New Jersey(6/11/2021)
RR
New York(7/6/2021)
RR
North Carolina(7/6/2021)
RR
Ohio(7/12/2021)
RR
Oregon(6/11/2021)
RR
Pennsylvania(2/14/2023)
RR
South Carolina(12/17/2021)
RR
Texas(6/11/2021)
IAR
Texas(6/11/2021)
RR
Utah(6/11/2021)
RR
Virginia(8/9/2022)
IAR
Washington(6/11/2021)
RR
Washington(6/15/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral 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.
