J. T. Cowles
ROCKEFELLER FINANCIAL LLC | Senior Vice President, Wealth Management Advisor
Carmel, IN 46032
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CRD#: 2226953
Professional summary
J. T Cowles, CIMA®, CPWA®, who also goes by J T Cowles, J. Trent Cowles, James T Cowles, James Trent Cowles, Trent Cowles, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Carmel, Indiana.
J. is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. J. has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Biography
Trent and the Cowles Fogg Merkel Wealth Management Group at Merrill Lynch Wealth Management strive to help simplify and substantially improve clients’ lives with multi-generational planning, disciplined investing, exceptional service and scheduled contact to nurture a superior client experience.
Question & Answer
What are your service offerings?
Financial planning
Trust & estate planning
Philanthropic services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
3M
Are you a "fiduciary"?
Yes
Aliases
J T Cowles | J. Trent Cowles | James T Cowles | James Trent Cowles | Trent Cowles
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*68455 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HARRISON CENTER FOR THE ARTS INVESTMENT RELATED: N ADDRESS OF BUSINESS: INDIANAPOLIS, INDIANA 46202 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 12/16/2013 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TO SERVE ON THE BOARD OF THE HARRISON CENTER FOR THE ARTS, ATTENDING BOARD MEETINGS BI-MONTHLY TO PROVIDE INSIGHT REGARDING GOVERNANCE, STRATEGY, EVENTS AND FUNDRAISING.
CRS (Client Relationship Summary) - RIA
Click below to view J. T Cowles's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view J. T Cowles'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®
CPWA®
Start date: 2018-12-20
Expire date: 2024-08-31
Education
1987 - 1991
Experience
Current
February 17, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 4 Carter Green, Suite 100, Carmel, IN 46032RIA
BD
CRD#: 291361
Carmel, IN
Current
February 17, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 4 Carter Green, Suite 100, Carmel, IN 46032RIA
BD
CRD#: 291361
Carmel, IN
Past
March 28, 1996 - February 21, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
INDIANAPOLIS, IN
Past
April 15, 1992 - February 21, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
INDIANAPOLIS, IN
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(2/17/2023)
RR
California(2/17/2023)
RR
Colorado(2/17/2023)
RR
Florida(2/17/2023)
RR
Georgia(2/17/2023)
RR
Idaho(2/17/2023)
RR
Illinois(3/23/2023)
IAR
Indiana(2/21/2023)
RR
Indiana(3/1/2023)
RR
Kentucky(2/17/2023)
RR
Massachusetts(2/17/2023)
RR
Michigan(2/17/2023)
RR
Missouri(7/25/2023)
RR
New York(2/17/2023)
RR
North Carolina(2/17/2023)
RR
Ohio(2/17/2023)
RR
South Carolina(2/17/2023)
RR
Tennessee(2/17/2023)
RR
Texas(2/17/2023)
IAR
Texas(2/17/2023)
Exams
State Security Law Exam
State Security Law 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROCKEFELLER FINANCIAL LLC
Senior Vice President, Wealth Management AdvisorCRD#: 291361Carmel, IN 46032TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
