Donis N. Smith
ROCKEFELLER FINANCIAL LLC | Senior Vice President–Wealth Management
Wilmington, NC 28405
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CRD#: 2642349
Professional summary
Donis Noe Smith, CFP®, who also goes by Donis Michelle Noe, Donis Michelle Smith, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Wilmington, North Carolina and ROCKEFELLER CAPITAL MANAGEMENT located in Wilmington, North Carolina.
Donis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Donis 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?
Estate Planning
Life Transitions
Retirement Planning
Investment Planning
Comprehensive Financial Planni...
Divorce Planning
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
Donis Michelle Noe | Donis Michelle Smith
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) UNIVERSITY OF NORTH CAROLNA WILMINGTON FOUNDATION; 601 South College Rd, Wilmington, NC 28405, US/ Education/ connecting memebrs to the community to UNCW and presiding over the assets of the foundation Lead the board meetings, represent the foundation and university at community events; Authority to make investment decisions?: yes/ start date: 7/1/2019 2)LANDFALL FOUNDATION / investment related/ no / Sun Runner Place, Wilmington, NC 28405/ Awards grants to small charities in the community/Officer; Treasurer/start date 1/1/2021/ Business hours per month: Yes, 2 hours per month for meetings 3) University of North Carolina at Wilmington Endowment Fund/ 601 South College Rd, Wilmington, NC 28405, US; The committee oversees the management of the University's endowment. We do not directly manage the investments. They are managed by UNC Management Co./ Review investment performance and give guidance to the University's Board of Trustees/ start date: 11/1/2021 4) Jedi Properties LLC, Investment Related. 1838 Sir Tyler Drive, Wilmington, NC 28405. Member of the LLC. 10/20/2023. 1 hour per month and half an hour during trading hours. Leasing entity for the team's office and to paid rent. 5) 3RockNC LLC, Investment Related. 1838 Sir Tyler Drive, Wilmington, NC 28405. Managing member of LLC. 10/23/2023. 1 hour per month and half an hour during trading hours. ember of LLC that holds title to commercial property
CRS (Client Relationship Summary) - RIA
Click below to view Donis Noe Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Donis Noe Smith'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®
CFP®
Start date: 2003
Education
Business Administration
1989 - 1994
Marketing
1985 - 1986
Business
1981 - 1984
Experience
Current
September 15, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1838 Sir Tyler Drive, Suite 102, Wilmington, NC 28405RIA
BD
CRD#: 291361
Wilmington, NC
Current
November 5, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 1838 Sir Tyler Drive Suite 100, Wilmington, NC 28405RIA
CRD#: 294197
Wilmington, NC
Current
September 15, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1838 Sir Tyler Drive, Suite 102, Wilmington, NC 28405RIA
BD
CRD#: 291361
Wilmington, NC
Past
October 18, 2013 - September 26, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WILMINGTON, NC
Past
October 18, 2013 - September 26, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WILMINGTON, NC
Past
June 1, 2009 - October 24, 2013
MORGAN STANLEY
RIA
CRD#: 149777
WILMINGTON, NC
Past
June 1, 2009 - October 24, 2013
MORGAN STANLEY
BD
CRD#: 149777
WILMINGTON, NC
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
WILMINGTON, NC
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
WILMINGTON, NC
Past
December 31, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
WILMINGTON, NC
Past
September 11, 1995 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
WILMINGTON, NC
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(10/17/2023)
RR
California(9/15/2023)
RR
Colorado(9/15/2023)
RR
Connecticut(9/15/2023)
RR
District of Columbia(12/8/2023)
RR
Florida(9/15/2023)
RR
Georgia(9/15/2023)
RR
Illinois(1/28/2025)
RR
Maryland(9/15/2023)
RR
Massachusetts(9/15/2023)
RR
Missouri(8/21/2024)
RR
Montana(10/6/2023)
RR
Nebraska(12/8/2023)
RR
New Hampshire(9/15/2023)
RR
New York(9/15/2023)
RR
North Carolina(9/15/2023)
IAR
North Carolina(9/15/2023)
RR
Ohio(9/15/2023)
RR
Oklahoma(9/15/2023)
RR
Pennsylvania(9/15/2023)
RR
South Carolina(9/15/2023)
RR
Tennessee(9/15/2023)
RR
Texas(9/15/2023)
IAR
Texas(9/15/2023)
IAR
Texas(11/5/2025)
RR
Vermont(9/15/2023)
RR
Virgin Islands(9/15/2023)
RR
Virginia(10/16/2023)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROCKEFELLER FINANCIAL LLC
Senior Vice President–Wealth ManagementCRD#: 291361Wilmington, NC 28405TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
