Laurie L. Whetstone
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Laurie Lynn Whetstone, who also goes by Laurie Lynn Posner, Laurie Whetstone, was a registered financial professional .
Laurie is a previously registered financial professional and started their career in finance in 1995. Laurie had worked at 8 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 31, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2019 - November 30, 2020
ROCKEFELLER FINANCIAL LLC
November 12, 2019 - November 30, 2020
ROCKEFELLER FINANCIAL LLC
January 10, 2018 - August 2, 2018
NEXPOINT SECURITIES, INC.
August 8, 2016 - January 4, 2018
ALLIANCEBERNSTEIN L.P.
May 9, 2016 - January 4, 2018
SANFORD C. BERNSTEIN & CO., LLC
August 1, 2013 - October 28, 2015
KELSON CAPITAL LLC
October 29, 2009 - May 3, 2011
FORESIDE DISTRIBUTION SOLUTIONS, LLC
February 20, 2009 - October 2, 2009
NATCITY INVESTMENTS, INC.
June 18, 2008 - October 2, 2009
NATCITY INVESTMENTS, INC.
May 23, 1995 - July 27, 1999
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFS OPCO LLC ("OPCO") | MEMBER | |
| ALEXANDER, MARK DAVID | PRINCIPAL OPERATIONS OFFICER | 2202934 |
| KOWALSKI, DEIRDRE PATTEN | PRINCIPAL FINANCIAL OFFICER | 1357509 |
| MIRZA, RIZWAN MOHAMMAD | CHIEF COMPLIANCE OFFICER | 5080469 |
| MORIARTY, EDMOND NICHOLAS | CO-CHIEF EXECUTIVE OFFICER | 1744318 |
| OUTLAW, MICHAEL WAYNE | CO-CHIEF EXECUTIVE OFFICER | 2760690 |
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.
