John H. Mcmanus
ROCKEFELLER FINANCIAL LLC | Senior Vice President–Wealth Management
AUSTIN, TX 78701
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CRD#: 2526019
Professional summary
John H Mcmanus is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Austin, Texas.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. John has worked at 6 firms and has passed the Series 66, Series 63, SIE 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.
JSKJCM LLC, 9009 Thickwoods Cv, Austin, TX 78735. Investment related. Sole member since October 2022. Personal Real Estate investment. 1 hour per month and zero hours during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view John H Mcmanus's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John H Mcmanus'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
1992 - 1994
Engineering
1980 - 1984
Experience
Current
May 24, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 200 W 6th Street, Suite 2600, Austin, TX 78701RIA
BD
CRD#: 291361
AUSTIN, TX
Current
May 24, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 200 W 6th Street, Suite 2600, Austin, TX 78701RIA
BD
CRD#: 291361
AUSTIN, TX
Past
May 11, 2009 - June 10, 2024
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
AUSTIN, TX
Past
May 5, 2009 - June 10, 2024
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
AUSTIN, TX
Past
December 10, 2007 - January 18, 2008
VICTORY CAPITAL SERVICES, INC.
BD
CRD#: 37059
NEW YORK, NY
Past
November 21, 1997 - February 23, 2006
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
March 27, 1997 - November 19, 1997
SCOTIA CAPITAL (USA) INC.
BD
CRD#: 2739
NEW YORK, NY
Past
August 24, 1994 - March 10, 1997
CITICORP SECURITIES, INC.
BD
CRD#: 7474
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(6/10/2024)
RR
California(5/24/2024)
RR
Delaware(5/24/2024)
RR
Florida(5/24/2024)
RR
Georgia(5/24/2024)
RR
Michigan(5/24/2024)
RR
Missouri(5/24/2024)
RR
Nevada(5/24/2024)
RR
New Jersey(5/24/2024)
RR
New Mexico(5/24/2024)
RR
North Carolina(5/24/2024)
RR
Ohio(8/28/2024)
RR
Oklahoma(5/24/2024)
RR
Pennsylvania(5/24/2024)
RR
Tennessee(5/24/2024)
RR
Texas(5/24/2024)
IAR
Texas(5/24/2024)
RR
Utah(5/24/2024)
RR
Virginia(5/24/2024)
RR
Washington(5/24/2024)
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
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–Wealth ManagementCRD#: 291361Austin, TX 78701TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
