MP
Michael P. Parker
ROCKEFELLER FINANCIAL LLC
Fair Haven, NJ
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CRD#: 2262357
MP
Professional summary
Michael Paul Parker is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Fair Haven, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
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.
Michael Parker, along with his father, is co-author of the book, "The Positive Influence: Helping People Become Their Best Self." Michael will receive commissions from the sales of this book. He will spend approximately 8 hours per month on this OBA, and 0 hours per trading day on this OBA.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Paul Parker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Paul Parker'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®
NoneExperience
Current
May 17, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #2: 180 Park Ave, Suite 110, Florham Park, NJ 07932RIA
BD
CRD#: 291361
Fair Haven, NJ
Current
March 21, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 180 Park Ave, Suite 110, Florham Park, NJ 07932RIA
BD
CRD#: 291361
Florham Park, NJ
Past
October 10, 2017 - March 12, 2019
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
MINNEAPOLIS, MN
Past
October 10, 2017 - March 12, 2019
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
MINNEAPOLIS, MN
Past
September 15, 2010 - October 3, 2017
HIGHTOWER ADVISORS, LLC
RIA
CRD#: 145323
NEW YORK, NY
Past
September 15, 2010 - October 3, 2017
HIGHTOWER SECURITIES, LLC
BD
CRD#: 116681
NEW YORK, NY
Past
October 30, 2009 - September 13, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
October 29, 2009 - September 13, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
June 1, 2009 - July 29, 2009
MORGAN STANLEY
RIA
CRD#: 149777
ALBANY, NY
Past
June 1, 2009 - July 29, 2009
MORGAN STANLEY
BD
CRD#: 149777
ALBANY, NY
Past
April 7, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ALBANY, NY
Past
December 1, 2005 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BOSTON, MA
Past
May 10, 2002 - January 30, 2004
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ALBANY, NY
Past
May 8, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ALBANY, NY
Past
October 7, 1994 - May 10, 2000
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
Alabama(11/12/2019)
RR
Arizona(11/12/2019)
RR
Arkansas(11/12/2019)
RR
California(11/12/2019)
RR
Colorado(11/12/2019)
RR
Connecticut(11/12/2019)
RR
Delaware(11/12/2019)
RR
District of Columbia(11/12/2019)
RR
Florida(11/12/2019)
RR
Georgia(11/12/2019)
RR
Idaho(11/12/2019)
RR
Illinois(11/12/2019)
RR
Kansas(11/12/2019)
RR
Louisiana(11/12/2019)
RR
Maryland(11/12/2019)
RR
Massachusetts(11/12/2019)
RR
Michigan(11/12/2019)
RR
Minnesota(11/12/2019)
RR
Missouri(11/12/2019)
RR
Montana(11/12/2019)
RR
Nevada(11/12/2019)
RR
New Jersey(11/12/2019)
IAR
New Jersey(2/20/2025)
RR
New York(3/21/2019)
IAR
New York(3/22/2021)
RR
North Carolina(11/12/2019)
RR
Ohio(11/12/2019)
RR
Oregon(11/12/2019)
RR
Pennsylvania(11/12/2019)
RR
South Carolina(11/12/2019)
RR
South Dakota(11/12/2019)
RR
Tennessee(11/12/2019)
RR
Texas(11/12/2019)
IAR
Texas(2/3/2021)
RR
Utah(11/12/2019)
RR
Virginia(11/12/2019)
RR
Washington(11/12/2019)
RR
Wyoming(11/12/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
