JC
John E. Carl
ROCKEFELLER CAPITAL MANAGEMENT
SARATOGA SPRINGS, NY 12866
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CRD#: 2905059
JC
Professional summary
John Edward Carl is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Saratoga Springs, New York and ROCKEFELLER FINANCIAL LLC located in Albany, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Boogie Fish Property LLC
CRS (Client Relationship Summary) - RIA
Click below to view John Edward Carl's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Edward Carl'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 31, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 321 Broadway, Saratoga Springs, NY 12866RIA
CRD#: 294197
SARATOGA SPRINGS, NY
Current
January 31, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 187 Wolf Road Suite 300, Albany, NY 12205Office #2: 321 Broadway, Saratoga Springs, NY 12866RIA
BD
CRD#: 291361
Albany, NY
Current
January 31, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 187 Wolf Road Suite 300, Albany, NY 12205Office #2: 321 Broadway, Saratoga Springs, NY 12866RIA
BD
CRD#: 291361
Albany, NY
Past
September 21, 2015 - February 24, 2025
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
ALBANY, NY
Past
September 3, 2015 - February 24, 2025
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
ALBANY, NY
Past
June 1, 2009 - September 15, 2015
MORGAN STANLEY
BD
CRD#: 149777
SARATOGA SPRINGS, NY
Past
March 13, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SARATOGA SPRINGS, NY
Past
July 1, 2003 - March 25, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LATHAM, NY
Past
April 5, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 18, 1997 - April 12, 2000
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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(1/31/2025)
RR
Arkansas(1/31/2025)
RR
California(1/31/2025)
RR
Colorado(1/31/2025)
RR
Connecticut(1/31/2025)
RR
District of Columbia(1/31/2025)
RR
Florida(1/31/2025)
RR
Georgia(1/31/2025)
RR
Illinois(1/31/2025)
RR
Louisiana(1/31/2025)
RR
Maine(1/31/2025)
RR
Maryland(1/31/2025)
RR
Massachusetts(3/25/2025)
RR
Michigan(1/31/2025)
RR
Minnesota(1/31/2025)
RR
Missouri(1/31/2025)
RR
Montana(1/31/2025)
RR
Nevada(1/31/2025)
RR
New Hampshire(1/31/2025)
RR
New Jersey(1/31/2025)
RR
New York(1/31/2025)
IAR
New York(1/31/2025)
RR
North Carolina(2/27/2025)
RR
Ohio(1/31/2025)
RR
Oregon(1/31/2025)
RR
Pennsylvania(1/31/2025)
RR
South Carolina(1/31/2025)
RR
Tennessee(1/31/2025)
RR
Texas(1/31/2025)
IAR
Texas(1/31/2025)
RR
Vermont(1/31/2025)
RR
Virginia(1/31/2025)
RR
Washington(1/31/2025)
RR
Wisconsin(1/31/2025)
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.
