William P. Patterson
ROCKEFELLER FINANCIAL LLC | Senior Vice President–Wealth Management
Wilmington, NC 28405
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CRD#: 2860989
Professional summary
William P. Patterson, CPWA®, who also goes by Paul Patterson, William Paul Patterson, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Wilmington, North Carolina and ROCKEFELLER CAPITAL MANAGEMENT located in Wilmington, North Carolina.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. William has worked at 4 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Patterson | William Paul Patterson
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) Real Estate/ Greensboro, NC 27410/investment related?: yes/ Condominium rental/ 33% owner with my wife and daughter/ I own the condo/ no time reqd during working hours/ date role began: 8/1/2022. 2) NAME OF OTHER BUSINESS: Avenel Boat Slip / INVESTMENT RELATED?: yes / ADDRESS: 1431 Avenel Drive, Avenel, NC / NATURE OF THE BUSINESS: Boat Slip / POSITION: Owner / DUTIES: Boat Slip deeded to my primary residence that I can rent out to a neighbor/ START DATE: 8-1-2022 / HOURS DEVOTED TO BUSINESS: NA
CRS (Client Relationship Summary) - RIA
Click below to view William P. Patterson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William P. Patterson'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®
Education
Finance, Entrepreneurialism
1997 - 1999
Accounting
1996 - 1997
Military History, Arabic
1987 - 1991
Experience
Current
September 15, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1838 Sir Tyler Drive, Suite 102, Wilmington, NC 28405RIA
BD
CRD#: 291361
Wilmington, NC
Current
November 5, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 1838 Sir Tyler Drive Suite 100, Wilmington, NC 28405RIA
CRD#: 294197
Wilmington, NC
Current
September 15, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1838 Sir Tyler Drive, Suite 102, Wilmington, NC 28405RIA
BD
CRD#: 291361
Wilmington, NC
Past
January 15, 2009 - September 26, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WILMINGTON, NC
Past
January 15, 2009 - September 26, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WILMINGTON, NC
Past
September 19, 2002 - January 21, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WILMINGTON, NC
Past
January 14, 2000 - January 21, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WILMINGTON, NC
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(10/17/2023)
RR
California(9/15/2023)
RR
Colorado(9/15/2023)
RR
Connecticut(9/15/2023)
RR
District of Columbia(12/8/2023)
RR
Florida(9/15/2023)
RR
Georgia(9/18/2023)
RR
Illinois(2/8/2024)
RR
Maryland(9/15/2023)
RR
Massachusetts(9/15/2023)
RR
Missouri(8/21/2024)
RR
Montana(9/15/2023)
RR
Nebraska(12/8/2023)
RR
New Hampshire(9/15/2023)
RR
New York(9/15/2023)
RR
North Carolina(9/15/2023)
IAR
North Carolina(9/15/2023)
RR
Ohio(9/15/2023)
RR
Oklahoma(9/15/2023)
RR
Pennsylvania(9/15/2023)
RR
South Carolina(9/15/2023)
RR
Tennessee(9/15/2023)
RR
Texas(9/15/2023)
IAR
Texas(9/15/2023)
IAR
Texas(11/5/2025)
RR
Vermont(9/15/2023)
RR
Virgin Islands(9/15/2023)
RR
Virginia(10/16/2023)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROCKEFELLER FINANCIAL LLC
Senior Vice President–Wealth ManagementCRD#: 291361Wilmington, NC 28405TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
