GK
Graham C. Kennedy
ROCKEFELLER FINANCIAL LLC
Atlanta, GA 30305
Some features on this profile are disabled
CRD#: 2712418
GK
Professional summary
Graham Charles Kennedy JR, who also goes by Chuck Kennedy, G Charles Kennedy Jr, Graham C Kennedy Jr, Graham Charles Kennedy Jr Jr, G Charles Kennedy Jr. Jr, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Atlanta, Georgia.
Graham is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Graham has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chuck Kennedy | G Charles Kennedy Jr | Graham C Kennedy Jr | Graham Charles Kennedy Jr Jr | G Charles Kennedy Jr. Jr
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. Kennedy is a licensed insurance agent with RCM Insurance Svces LLC, an affiliate of the firm.
Mr. Kennedy is a Board member of the Cherokee Town and Country Club. He does not act in any investment capacity. This affiliation began on May 1, 2018. It is not for profit, not compensated, and not investment related.
Mr. Kennedy has been Trustee to the Georgia State Golf Association Foundation since July 2010. This is a not for profit entity, he is not compensated, and it is not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Graham Charles Kennedy JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Graham Charles Kennedy 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
January 21, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305RIA
BD
CRD#: 291361
Atlanta, GA
Current
January 17, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305RIA
BD
CRD#: 291361
Atlanta, GA
Past
June 1, 2009 - January 23, 2020
MORGAN STANLEY
RIA
CRD#: 149777
ATLANTA, GA
Past
June 1, 2009 - January 23, 2020
MORGAN STANLEY
BD
CRD#: 149777
ATLANTA, GA
Past
April 17, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ATLANTA, GA
Past
January 2, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ATLANTA, GA
Past
March 26, 1996 - January 2, 2002
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
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(1/17/2020)
RR
California(1/17/2020)
RR
Colorado(1/17/2020)
RR
Connecticut(2/22/2021)
RR
Delaware(1/17/2020)
RR
District of Columbia(1/17/2020)
RR
Florida(1/17/2020)
RR
Georgia(1/17/2020)
IAR
Georgia(1/21/2020)
RR
Kentucky(1/17/2020)
RR
Nevada(4/9/2021)
RR
New Jersey(1/17/2020)
RR
New York(1/17/2020)
RR
North Carolina(1/17/2020)
RR
Oregon(8/7/2025)
RR
Pennsylvania(1/17/2020)
RR
South Carolina(1/17/2020)
RR
Tennessee(1/19/2021)
RR
Texas(1/17/2020)
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.
