JB
Joseph W. Bartholomew
ROCKEFELLER FINANCIAL LLC
Richmond, VA 23219
Some features on this profile are disabled
CRD#: 2756380
JB
Professional summary
Joseph Whiteman Bartholomew III, who also goes by Joe Bartholomew, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Richmond, Virginia.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Joseph has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Bartholomew
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.
LONGWOOD UNIVERSITY FOUNDATION POSITION: Board Member (pending) NATURE: Board Member for the Longwood University Foundation. This is an endowment/ 501(c)(3) nonprofit organization supporting the vision and goals of Longwood University. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 10/23/2020 ADDRESS: Lancaster G28, 201 High Street, Farmville VA 23909
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Whiteman Bartholomew III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Whiteman Bartholomew III'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
February 1, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 200 S 10th Street, Suite 950, Richmond, VA 23219RIA
BD
CRD#: 291361
Richmond, VA
Current
February 1, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 200 S 10th Street, Suite 950, Richmond, VA 23219RIA
BD
CRD#: 291361
Richmond, VA
Past
February 17, 2021 - February 5, 2024
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
Richmond, VA
Past
February 17, 2021 - February 5, 2024
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
RICHMOND, VA
Past
March 10, 2014 - February 17, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
February 14, 2014 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
June 1, 2009 - March 10, 2014
MORGAN STANLEY
RIA
CRD#: 149777
RICHMOND, VA
Past
June 1, 2009 - March 10, 2014
MORGAN STANLEY
BD
CRD#: 149777
RICHMOND, VA
Past
April 9, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
RICHMOND, VA
Past
April 9, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
RICHMOND, VA
Past
June 30, 2005 - May 6, 2009
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
RICHMOND, VA
Past
June 27, 2005 - May 6, 2009
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
RICHMOND, VA
Past
June 21, 2002 - June 30, 2005
TRUIST SECURITIES, INC.
RIA
CRD#: 6271
RICHMOND, VA
Past
June 21, 2002 - June 30, 2005
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
February 24, 1997 - July 1, 2002
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
RICHMOND, VA
Past
October 11, 1996 - July 1, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(2/1/2024)
RR
California(2/1/2024)
RR
Colorado(2/1/2024)
RR
Delaware(2/1/2024)
RR
Florida(2/1/2024)
RR
Georgia(2/1/2024)
RR
Illinois(2/1/2024)
RR
Maine(2/1/2024)
RR
Maryland(2/1/2024)
RR
Massachusetts(2/1/2024)
RR
Michigan(2/1/2024)
RR
Mississippi(2/1/2024)
RR
Nevada(2/1/2024)
RR
New Hampshire(2/1/2024)
RR
New Jersey(2/1/2024)
RR
New Mexico(2/1/2024)
RR
New York(2/1/2024)
RR
North Carolina(2/1/2024)
RR
Ohio(2/1/2024)
RR
Pennsylvania(2/1/2024)
RR
South Carolina(2/1/2024)
RR
Tennessee(2/1/2024)
RR
Texas(2/1/2024)
IAR
Texas(2/1/2024)
RR
Virginia(2/1/2024)
IAR
Virginia(2/1/2024)
RR
Washington(2/1/2024)
RR
West Virginia(3/8/2024)
Exams
State Security Law Exam
State Security Law 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 291361Richmond, VA 23219TRUST BUT VERIFY
Monitor Joseph Bartholomew
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
