David G. Lloyd
Professional summary
David George Lloyd JR, who also goes by David G (jr) Lloyd, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in San Antonio, Texas.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David George Lloyd JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David George Lloyd JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1900 Broadway Street Suite 660, San Antonio, TX 78215April 1, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1900 Broadway Street Suite 660, San Antonio, TX 78215September 10, 2004 - April 12, 2021
UBS FINANCIAL SERVICES INC.
September 10, 2004 - April 12, 2021
UBS FINANCIAL SERVICES INC.
August 30, 1999 - September 14, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 1999 - September 14, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 1998 - August 17, 1999
M. E. ALLISON & CO., INC.
January 27, 1998 - October 12, 1998
INVERWORLD SECURITIES, INC.
November 15, 1994 - August 6, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
(5/5/2023)
(4/1/2021)
(4/1/2021)
(4/1/2021)
(4/1/2021)
(12/18/2024)
(4/1/2021)
(4/1/2021)
(4/1/2021)
(4/1/2021)
(3/16/2023)
(5/28/2021)
(4/1/2021)
(4/1/2021)
(4/1/2021)
(4/1/2021)
(4/1/2021)
(4/1/2021)
Exams
FINRA
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
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.
