AA
Arthur G. Alexander
ROCKEFELLER FINANCIAL LLC
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 2696
AA
Professional summary
Arthur Goodall Alexander JR, who also goes by Art Alexander, Arthur Goodall Alexander II, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Dallas, Texas and ROCKEFELLER CAPITAL MANAGEMENT located in Dallas, Texas.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Arthur has worked at 4 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, Series 31, Series 15, Series 5, PC, Series 1, Series 10, Series 9, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Art Alexander | Arthur Goodall Alexander Ii
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.
Mr. Alexander is a licensed insurance agent with RCM Insurance Svces LLC, an affiliate of the firm.
Art is trustee of a family trust. It is not under Art's supervision. Art spends less than ~1 hour per month in this role. Art is not advising or consulted on any investment recommendation
Art and his wife share an investment in the Sandestin Beach Hilton Hotel, located in Sandestin Florida.This was a limited partnership investment that Art bought in the 1980s through his prior employer. The OBA offers fractional ownership in the Sandestin beach Hotel and Resort. Art, as a limited partner, receives income from the profits of the Hotel and amenities. This business is considered investment-related, in which Art has a 1% ownership interest.
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Goodall Alexander JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arthur Goodall Alexander JR'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
November 25, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 Crescent Court Suite 1450, Dallas, TX 75201RIA
BD
CRD#: 291361
Dallas, TX
Current
August 29, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 300 Crescent Court Suite 1450, Dallas, TX 75201RIA
CRD#: 294197
DALLAS, TX
Current
November 22, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 Crescent Court Suite 1450, Dallas, TX 75201RIA
BD
CRD#: 291361
Dallas, TX
Past
November 22, 2019 - November 24, 2019
ROCKEFELLER FINANCIAL LLC
RIA
CRD#: 291361
NEW YORK, NY
Past
August 23, 1983 - November 26, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DALLAS, TX
Past
September 26, 1978 - November 26, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DALLAS, TX
Past
March 8, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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(11/26/2019)
RR
Arizona(11/22/2019)
RR
California(11/22/2019)
RR
Colorado(11/22/2019)
RR
Florida(11/22/2019)
RR
Georgia(11/22/2019)
RR
Illinois(12/16/2019)
RR
Iowa(12/2/2019)
RR
Louisiana(11/22/2019)
RR
Maryland(12/18/2023)
RR
Massachusetts(3/20/2023)
RR
Michigan(1/13/2021)
RR
Mississippi(11/22/2019)
RR
Nebraska(11/22/2019)
RR
New Hampshire(3/19/2020)
RR
New Jersey(11/22/2019)
RR
New York(11/22/2019)
RR
Ohio(1/24/2024)
RR
Oklahoma(11/25/2019)
RR
Pennsylvania(8/30/2024)
RR
South Carolina(1/27/2023)
RR
Texas(11/25/2019)
IAR
Texas(11/25/2019)
RR
Vermont(12/18/2023)
RR
Virginia(5/5/2023)
RR
Wyoming(11/22/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 6/1/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 9/8/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 3/6/1974
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 2/21/1981
NYSE Branch Manager ExaminationSRO 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
CRD#: 291361Dallas, TX 75201TRUST BUT VERIFY
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