KL
Karla H. Lavin
ROCKEFELLER FINANCIAL LLC
Charlotte, NC 28209
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CRD#: 2538786
KL
Professional summary
Karla Hall Lavin is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Charlotte, North Carolina.
Karla is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Karla has worked at 7 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.
Sole Proprietor / Owner / Partner; Real Estate Properties; Waxhaw, NC, Charlotte, NC; As of 11/2015; During business hours - less that 15 minutes; After business hours 1 -2 hours per month. Personal Real Estate rental
CRS (Client Relationship Summary) - RIA
Click below to view Karla Hall Lavin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karla Hall Lavin'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 3, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209RIA
BD
CRD#: 291361
Charlotte, NC
Current
May 3, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209RIA
BD
CRD#: 291361
Charlotte, NC
Past
March 3, 2016 - May 8, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Charlotte, NC
Past
December 3, 2015 - May 8, 2024
MORGAN STANLEY
BD
CRD#: 149777
Charlotte, NC
Past
April 14, 2010 - October 27, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
CHARLOTTE, NC
Past
March 20, 2009 - April 16, 2010
OPPENHEIMER & CO. INC.
BD
CRD#: 249
CHARLOTTE, NC
Past
December 5, 2008 - March 16, 2009
STANFORD GROUP COMPANY
BD
CRD#: 39285
CHARLOTTE, NC
Past
February 16, 2006 - December 8, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
February 13, 2003 - June 16, 2005
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
April 24, 1998 - September 10, 2002
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
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
California(5/3/2024)
RR
Colorado(5/3/2024)
RR
Florida(5/3/2024)
RR
Georgia(5/3/2024)
RR
Illinois(5/3/2024)
RR
Michigan(5/3/2024)
RR
New Jersey(5/3/2024)
RR
New York(5/22/2024)
RR
North Carolina(5/3/2024)
IAR
North Carolina(5/3/2024)
RR
Ohio(5/3/2024)
RR
Oregon(5/3/2024)
RR
South Carolina(5/3/2024)
RR
Tennessee(5/3/2024)
RR
Texas(5/3/2024)
IAR
Texas(5/3/2024)
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.
