Karleen M. Halliwell
ROCKEFELLER CAPITAL MANAGEMENT | Senior Portfolio Manager
Fort Launderdale, FL 33301
Some features on this profile are disabled
CRD#: 2581701
Professional summary
Karleen Madeleine Halliwell, who also goes by Karleen M Halliwell, Karleen Madeleine Ocoin, Karleen Madeleine Ocoin, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Fort Launderdale, Florida and ROCKEFELLER FINANCIAL LLC located in Fort Lauderdale, Florida.
Karleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Karleen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Insurance
Philanthropic services
Trust & estate planning
Loans/credit services
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
Karleen M Halliwell | Karleen Madeleine Ocoin | Karleen Madeleine Ocoin
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.
1) MIAMI COUNTRY DAY SCHOOL / 601 NE 107TH STREET MIAMI,FL 33161 / OTHER/ EDUCATION / PRIVATE EDUCATION / TRUSTEE / / INVOLVED IN DEVELOPMET AND PLANNED GIVING FOR SCHOOL /Chair of Investment Committee - facilitate quarterly meetings where we will be listening to presentation from Investment manager of school endowment/ 2-3 Hours per month / .5 hours per trading day / START DATE 05/31/2021
CRS (Client Relationship Summary) - RIA
Click below to view Karleen Madeleine Halliwell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karleen Madeleine Halliwell'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
Experience
Current
June 27, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 501 E Las Olas Blvd, Suite 300, Fort Launderdale, FL 33301RIA
CRD#: 294197
Fort Launderdale, FL
Current
June 27, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 515 E Las Olas Blvd Suite 1650, Fort Lauderdale, FL 33301RIA
BD
CRD#: 291361
FORT LAUDERDALE, FL
Current
June 27, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 515 E Las Olas Blvd Suite 1650, Fort Lauderdale, FL 33301RIA
BD
CRD#: 291361
FORT LAUDERDALE, FL
Past
February 27, 2013 - July 22, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
Hallandale Beach, FL
Past
February 27, 2013 - July 22, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Hallandale Beach, FL
Past
June 1, 2009 - March 11, 2013
MORGAN STANLEY
RIA
CRD#: 149777
AVENTURA, FL
Past
June 1, 2009 - March 11, 2013
MORGAN STANLEY
BD
CRD#: 149777
AVENTURA, FL
Past
February 10, 1997 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
AVENTURA, FL
Past
September 20, 1996 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
AVENTURA, FL
Past
May 30, 1995 - August 1, 1996
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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(6/27/2025)
RR
Colorado(6/27/2025)
RR
Connecticut(6/27/2025)
RR
District of Columbia(6/27/2025)
RR
Florida(6/27/2025)
IAR
Florida(7/7/2025)
RR
Georgia(6/27/2025)
RR
Hawaii(6/27/2025)
RR
Illinois(7/31/2025)
RR
Kentucky(6/27/2025)
RR
Maryland(6/27/2025)
RR
Massachusetts(6/27/2025)
RR
Minnesota(7/24/2025)
RR
Mississippi(7/7/2025)
RR
Nevada(6/27/2025)
RR
New Jersey(6/27/2025)
RR
New York(6/27/2025)
RR
North Carolina(7/23/2025)
RR
Pennsylvania(6/27/2025)
RR
Rhode Island(7/24/2025)
RR
South Carolina(6/27/2025)
RR
Texas(6/27/2025)
IAR
Texas(6/27/2025)
RR
Utah(6/27/2025)
RR
Vermont(6/27/2025)
RR
Virginia(6/27/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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 Portfolio ManagerCRD#: 291361Fort Launderdale, FL 33301TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
