TO
Timothy D. O'hara
ROCKEFELLER FINANCIAL LLC
Saint Simons Island, GA
Some features on this profile are disabled
CRD#: 2682487
TO
Professional summary
Timothy Daniel O'hara, who also goes by Timothy Daniel Ohara, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Saint Simons Island, Georgia.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Timothy has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Timothy Daniel Ohara
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. Greenslate, which is located at 150 W 30th St, Suite 405, New York NY 10001. This is an outsourced payroll and accounting service for movie and TV productions. The start date of this activity was 1.1.19. It is NOT investment/securities related. The Position: Member of the Board of Directors. The Number of hours per month devoted to this business is 2.
2. Since August, 2013, Tim has been a Board Member for Alabany Law School. This is a non-profit entity. He is not compensated, and he spends ~4 hours on this affiliation per month. It is not investment related.
3. Since January 2008, Tim has served as Trustee for the family trust, "Kathryn A Farrell Trust." This is a for-profit entity. However Tim is not compensated not does he have a reasonable expectation of compensation. The approximate hours per month devoted to this is 1. This affiliation is not with a client or prospective client of RCM.
Tim will be acting as Trustee for the Kathryn A Farrell Trust. Tim will be an individual trustee for his wife's aunt. His duties will including managing the assets of the trust, disburse the annual income, and file tax returns. This is a for-profit entity, which Tim will not be compensated for. Tim will spend approximately 1 hour per month on this OBA, and approximately 1 hour per trading day on this OBA.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Daniel O'hara's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Daniel O'hara'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
June 6, 2021 - Present
ROCKEFELLER FINANCIAL LLC
RIA
BD
CRD#: 291361
Saint Simons Island, GA
Current
May 6, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza Floor 5, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Past
January 16, 1996 - December 31, 2018
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
SARATOGA SPRINGS, 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
Alabama(11/21/2019)
RR
Alaska(11/21/2019)
RR
Arizona(11/21/2019)
RR
Arkansas(11/21/2019)
RR
California(11/21/2019)
RR
Colorado(11/21/2019)
RR
Connecticut(11/21/2019)
RR
Delaware(11/21/2019)
RR
District of Columbia(11/21/2019)
RR
Florida(11/21/2019)
RR
Georgia(11/21/2019)
IAR
Georgia(1/29/2025)
RR
Hawaii(11/21/2019)
RR
Idaho(11/21/2019)
RR
Illinois(11/21/2019)
RR
Indiana(11/21/2019)
RR
Iowa(11/21/2019)
RR
Kansas(11/21/2019)
RR
Kentucky(11/21/2019)
RR
Louisiana(11/21/2019)
RR
Maine(11/21/2019)
RR
Maryland(11/21/2019)
RR
Massachusetts(11/21/2019)
RR
Michigan(11/21/2019)
RR
Minnesota(11/21/2019)
RR
Mississippi(11/21/2019)
RR
Missouri(11/21/2019)
RR
Montana(11/21/2019)
RR
Nebraska(11/21/2019)
RR
Nevada(11/21/2019)
RR
New Hampshire(11/21/2019)
RR
New Jersey(11/21/2019)
RR
New Mexico(11/21/2019)
RR
New York(5/6/2019)
IAR
New York(6/6/2021)
RR
North Carolina(11/21/2019)
RR
North Dakota(11/21/2019)
RR
Ohio(11/21/2019)
RR
Oklahoma(11/21/2019)
RR
Oregon(11/21/2019)
RR
Pennsylvania(11/21/2019)
RR
Puerto Rico(11/21/2019)
RR
Rhode Island(11/21/2019)
RR
South Carolina(11/21/2019)
RR
South Dakota(11/21/2019)
RR
Tennessee(11/21/2019)
RR
Texas(11/21/2019)
RR
Utah(11/21/2019)
RR
Vermont(11/21/2019)
RR
Virgin Islands(11/21/2019)
RR
Virginia(11/21/2019)
RR
Washington(11/21/2019)
RR
West Virginia(11/21/2019)
RR
Wisconsin(11/21/2019)
RR
Wyoming(11/21/2019)
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
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
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.
