WD
William B. Drewry
ROCKEFELLER FINANCIAL LLC
Houston, TX 77027
Some features on this profile are disabled
CRD#: 2554663
WD
Professional summary
William Boyd Drewry, who also goes by William B Drewry, is a registered financial professional currently at ROCKEFELLER FINANCIAL LLC located in Houston, Texas.
William is registered as a RR (Registered Representative) and started their career in finance in 1995. William has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
William B Drewry
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view William Boyd Drewry'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
October 10, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1600 West Loop South, Suite 700, Houston, TX 77027RIA
BD
CRD#: 291361
Houston, TX
Past
June 3, 2020 - July 11, 2022
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
February 22, 2019 - May 28, 2020
BA SECURITIES, LLC
BD
CRD#: 153489
W. CONSHOHOCKEN, PA
Past
June 29, 2016 - February 22, 2019
PURSUIT MERCHANT SECURITIES LLC
BD
CRD#: 281033
New York, NY
Past
September 29, 2015 - July 7, 2016
BA SECURITIES, LLC
BD
CRD#: 153489
W. CONSHOHOCKEN, PA
Past
February 8, 2012 - May 13, 2015
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
July 26, 2007 - December 23, 2008
UBS SECURITIES LLC
BD
CRD#: 7654
ATLANTA, GA
Past
October 10, 2000 - June 1, 2007
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
ATLANTA, GA
Past
October 8, 1998 - October 10, 2000
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
March 17, 1995 - October 21, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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.
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(1/15/2024)
RR
Alaska(1/15/2024)
RR
Arizona(1/15/2024)
RR
Arkansas(1/15/2024)
RR
California(1/15/2024)
RR
Colorado(1/15/2024)
RR
Connecticut(1/15/2024)
RR
Delaware(1/15/2024)
RR
District of Columbia(1/15/2024)
RR
Florida(1/15/2024)
RR
Georgia(1/15/2024)
RR
Hawaii(1/15/2024)
RR
Idaho(1/15/2024)
RR
Illinois(1/15/2024)
RR
Indiana(1/15/2024)
RR
Iowa(1/15/2024)
RR
Kansas(1/15/2024)
RR
Kentucky(1/15/2024)
RR
Louisiana(1/15/2024)
RR
Maine(1/15/2024)
RR
Maryland(1/15/2024)
RR
Massachusetts(1/15/2024)
RR
Michigan(1/15/2024)
RR
Minnesota(1/15/2024)
RR
Mississippi(1/15/2024)
RR
Missouri(1/15/2024)
RR
Montana(1/15/2024)
RR
Nebraska(1/15/2024)
RR
Nevada(1/15/2024)
RR
New Hampshire(1/15/2024)
RR
New Jersey(1/15/2024)
RR
New Mexico(1/15/2024)
RR
New York(10/10/2022)
RR
North Carolina(1/15/2024)
RR
North Dakota(1/15/2024)
RR
Ohio(1/15/2024)
RR
Oklahoma(1/15/2024)
RR
Oregon(1/15/2024)
RR
Pennsylvania(1/15/2024)
RR
Puerto Rico(1/15/2024)
RR
Rhode Island(1/15/2024)
RR
South Carolina(1/15/2024)
RR
South Dakota(1/15/2024)
RR
Tennessee(1/15/2024)
RR
Texas(1/11/2024)
RR
Utah(1/15/2024)
RR
Vermont(1/15/2024)
RR
Virgin Islands(1/15/2024)
RR
Virginia(1/15/2024)
RR
Washington(1/15/2024)
RR
West Virginia(1/15/2024)
RR
Wisconsin(1/15/2024)
RR
Wyoming(1/15/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
| 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.
