MO
Michael W. Outlaw
ROCKEFELLER FINANCIAL LLC
Mount Pleasant, SC
Some features on this profile are disabled
CRD#: 2760690
MO
Professional summary
Michael Wayne Outlaw, who also goes by Michael Wyne Outlaw, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Mount Pleasant, South Carolina and ROCKEFELLER CAPITAL MANAGEMENT located in Ny, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Wyne Outlaw
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.
Since April 2018, Mr. Outlaw has been an investor of Secure Companies, an insurance related business located in Kimmeridge Dr., Atlanta, GA. Mr. Outlaw does not take part in the day to day management of the company's activities. Mr. Outlaw devotes 0 hours per month to this business. Since April 2016, Mr. Outlaw has been an investor of Outlaw Valley LLC located in Atlanta GA. Outlaw Valley LLC is the owner of a residential investment property. Mr. Outlaw devotes 2 hours per month to this business of which zero take place during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Wayne Outlaw's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Wayne Outlaw'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 27, 2018 - Present
ROCKEFELLER FINANCIAL LLC
Office #2: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
Mount Pleasant, SC
Current
August 9, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 45 Rockefeller Plaza 5th Floor, Ny, NY, 10111RIA
CRD#: 294197
NY, NY
Current
November 27, 2018 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Past
June 1, 2009 - November 3, 2018
MORGAN STANLEY
RIA
CRD#: 149777
ATLANTA, GA
Past
June 1, 2009 - November 3, 2018
MORGAN STANLEY
BD
CRD#: 149777
ATLANTA, GA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
WASHINGTON, DC
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
WASHINGTON, DC
Past
October 24, 1996 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SARASOTA, FL
Past
August 26, 1996 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
SARASOTA, FL
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(12/17/2018)
RR
Alaska(12/17/2018)
RR
Arizona(12/17/2018)
RR
Arkansas(12/17/2018)
RR
California(12/17/2018)
RR
Colorado(12/17/2018)
RR
Connecticut(12/17/2018)
RR
Delaware(12/17/2018)
RR
District of Columbia(11/27/2018)
RR
Florida(11/27/2018)
IAR
Florida(12/10/2018)
RR
Georgia(11/27/2018)
IAR
Georgia(12/13/2018)
RR
Hawaii(12/17/2018)
RR
Idaho(12/17/2018)
IAR
Illinois(11/27/2018)
RR
Illinois(11/28/2018)
RR
Indiana(12/17/2018)
RR
Iowa(12/17/2018)
RR
Kansas(12/17/2018)
RR
Kentucky(12/17/2018)
RR
Louisiana(12/17/2018)
RR
Maine(12/17/2018)
RR
Maryland(11/27/2018)
IAR
Maryland(11/29/2018)
RR
Massachusetts(12/17/2018)
RR
Michigan(11/27/2018)
IAR
Michigan(9/27/2019)
RR
Minnesota(3/11/2019)
RR
Mississippi(12/17/2018)
RR
Missouri(12/17/2018)
RR
Montana(12/17/2018)
RR
Nebraska(12/18/2018)
RR
Nevada(12/17/2018)
RR
New Hampshire(12/17/2018)
RR
New Jersey(12/17/2018)
RR
New Mexico(12/17/2018)
RR
New York(12/17/2018)
IAR
New York(8/8/2025)
RR
North Carolina(12/17/2018)
RR
North Dakota(12/17/2018)
RR
Ohio(12/17/2018)
RR
Oklahoma(12/17/2018)
RR
Oregon(12/17/2018)
RR
Pennsylvania(11/27/2018)
IAR
Pennsylvania(11/27/2018)
RR
Rhode Island(12/17/2018)
RR
South Carolina(11/27/2018)
IAR
South Carolina(3/1/2019)
RR
South Dakota(12/17/2018)
RR
Tennessee(12/17/2018)
RR
Texas(11/29/2018)
IAR
Texas(11/29/2018)
IAR
Texas(8/9/2024)
RR
Utah(12/17/2018)
RR
Vermont(12/17/2018)
RR
Virgin Islands(12/17/2018)
RR
Virginia(12/17/2018)
RR
Washington(12/17/2018)
RR
West Virginia(12/17/2018)
RR
Wisconsin(12/17/2018)
RR
Wyoming(12/17/2018)
Exams
State Security Law Exam
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
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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.
