JE
John F. Embleton
ROCKEFELLER FINANCIAL LLC
Atlanta, GA 30305
Some features on this profile are disabled
CRD#: 2269087
JE
Professional summary
John Frederick Embleton, CIMA® is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Atlanta, Georgia and ROCKEFELLER CAPITAL MANAGEMENT located in Atlanta, Georgia.
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 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 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.
Since January of 1998, Mr. Embleton has served as on the arbitration panel of the New York Stock Exchange located at 20 Broad St. New York, NY, 10005. Mr. Embleton's job duties include, but are not limited to, participating and hearing arbitration cases. Mr. Embleton devotes one hour per month to this business and this hour takes place takes place during securities trading hours. Since January 2007, Mr. Embleton has served as Scout Master at Boy Scouts of America located in Atlanta, GA. Mr. Embleton's job duties include, but are not limited to, youth guidance and performing Boy Scout troop activities. Mr. Embleton devotes 10 hours a month to this business of which none of the 10 hours take place during securities trading hours. Since January 2011 Mr. Embleton has served as a board member of a homeowners association called the Little Rock Creek Lane Home Owners Association located in Cherry Log, GA. Mr. Embleton's job duties include, but are not limited to making board decisions for the maintenance and upkeep of the neighborhood. Mr. Embleton devotes two hours per month to this business of which none take place during securities trading hours. Mr. Embleton is also a licensed insurance agent with RCM Insurance Svces LLC, an affiliate of the firm. On 11.1.19, John Embleton formed Foxtrot Echo LLC. The entity conducts zero activity- It is simply a liability shell company strictly opened for the ownership of an aircraft that he recently purchased for personal use. John's duties within this LL is to manage expenses associated with the maintenance of the aircraft. John is 100% owner of this for-profit entity. It is a noncompensated position, which he will spend approximately 1 hour per month on. There are no Rockefeller clients associated with this OBA. Since January 6, 2022, John Embleton became the owner of Silver King LLC, 1120 Balmoral Rd NE, Sandy Springs, GA 30319. The entity will be used as a holding company to make an investment in EyeWatch Live LLC. John's duties within this LLC are to file tax returns. John is 100% owner of this for-profit entity. It is a noncompensated position, which he will spend approximately 1 hour per month on.
CRS (Client Relationship Summary) - RIA
Click below to view John Frederick Embleton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Frederick Embleton'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®
Experience
Current
January 18, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305RIA
BD
CRD#: 291361
Atlanta, GA
Current
November 5, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 3060 Peachtree Road Nw Suite 110, Atlanta, GA 30305RIA
CRD#: 294197
Atlanta, GA
Current
January 18, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305RIA
BD
CRD#: 291361
Atlanta, GA
Past
October 31, 2008 - January 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ATLANTA, GA
Past
October 31, 2008 - January 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ATLANTA, GA
Past
April 2, 2007 - November 4, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ATLANTA, GA
Past
April 2, 2007 - November 4, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ATLANTA, GA
Past
February 25, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ATLANTA, GA
Past
January 5, 1995 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ATLANTA, GA
Past
January 21, 1994 - January 13, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 3, 1992 - January 21, 1994
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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(1/18/2019)
RR
Alaska(11/5/2021)
RR
Arizona(1/18/2019)
RR
California(1/18/2019)
RR
Colorado(1/18/2019)
RR
Delaware(1/18/2019)
RR
Florida(1/18/2019)
RR
Georgia(1/18/2019)
IAR
Georgia(1/22/2019)
RR
Idaho(2/21/2020)
RR
Illinois(1/18/2019)
RR
Indiana(4/21/2023)
RR
Kansas(3/5/2020)
RR
Kentucky(1/18/2019)
RR
Maryland(1/18/2019)
RR
Massachusetts(3/15/2021)
RR
Michigan(1/2/2020)
RR
Mississippi(1/18/2019)
RR
Missouri(9/20/2022)
RR
Nevada(1/18/2019)
RR
New Jersey(1/18/2019)
RR
New Mexico(3/13/2023)
RR
New York(1/18/2019)
RR
North Carolina(1/18/2019)
RR
Ohio(1/18/2019)
RR
Pennsylvania(1/18/2019)
RR
Puerto Rico(2/23/2023)
RR
Rhode Island(1/4/2021)
RR
South Carolina(1/18/2019)
RR
Tennessee(1/18/2019)
RR
Texas(1/18/2019)
IAR
Texas(1/18/2019)
RR
Utah(1/18/2019)
RR
Virginia(1/18/2019)
RR
Washington(1/18/2019)
RR
Wisconsin(1/18/2019)
RR
Wyoming(6/17/2021)
Exams
State Security Law Exam
State Security Law Exam
General 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.
