John V. Mooney
ROCKEFELLER FINANCIAL LLC | Senior Vice President - Investments
Woodmere, OH 44122
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CRD#: 2261982
Professional summary
John Vianney Mooney is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Woodmere, Ohio.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. John has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
What are your service offerings?
Financial planning
Loans/credit services
Trust & estate planning
Philanthropic services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
None
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.
1J Management LLC / 1111 Superior Ave. Suite 1000 Celveland,Ohio 44114 / Partnership/ Real Estate / Residential real estate investing / Partner / / Provide investment dollars / Start Date 2/8/16 2 )JAMINPOMPANO LLC; Investment related; 3231 NE 15th Street Pompano Beach, FL 33062; Property rental; Manager; 01/20/2025; 0 hours a month and 0 hours during trading hours; Rental property.
CRS (Client Relationship Summary) - RIA
Click below to view John Vianney Mooney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Vianney Mooney'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®
NoneEducation
Finance
1987 - 1991
Finance
1983 - 1987
1979 - 1983
Experience
Current
October 7, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 28601 Chagrin Blvd, Suite 525, Woodmere, OH 44122RIA
BD
CRD#: 291361
Woodmere, OH
Current
October 7, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 28601 Chagrin Blvd, Suite 525, Woodmere, OH 44122RIA
BD
CRD#: 291361
Woodmere, OH
Past
February 9, 2007 - October 18, 2022
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PEPPER PIKE, OH
Past
February 9, 2007 - October 18, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PEPPER PIKE, OH
Past
February 15, 2000 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
PEPPER PIKE, OH
Past
November 6, 1992 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
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
Alabama(10/19/2022)
RR
California(10/7/2022)
RR
Colorado(10/7/2022)
RR
Connecticut(10/7/2022)
RR
District of Columbia(10/7/2022)
RR
Florida(10/7/2022)
RR
Georgia(10/7/2022)
RR
Illinois(10/7/2022)
RR
Kentucky(10/7/2022)
RR
Massachusetts(10/7/2022)
RR
Michigan(10/7/2022)
RR
New York(10/7/2022)
RR
North Carolina(10/7/2022)
RR
Ohio(10/7/2022)
IAR
Ohio(10/7/2022)
RR
Pennsylvania(10/7/2022)
RR
Tennessee(6/10/2024)
RR
Texas(10/7/2022)
IAR
Texas(10/7/2022)
RR
Vermont(10/7/2022)
RR
Virginia(10/7/2022)
RR
West Virginia(10/7/2022)
RR
Wisconsin(3/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/6/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
Company Information
ROCKEFELLER FINANCIAL LLC
Senior Vice President - InvestmentsCRD#: 291361Woodmere, OH 44122TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
