WC
William E. Christian
ROCKEFELLER FINANCIAL LLC
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 2930040
WC
Professional summary
William Eric Christian, who also goes by William E Christian, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Stamford, Connecticut and ROCKEFELLER CAPITAL MANAGEMENT located in Stamford, Connecticut.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. William has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William E Christian
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.
Fieldpoint Private Bank, Commercial Loan Trails, One Greenwich Plaza Suite A, Second Floor, Greenwich, CT 06830; Receive loan trails from commercial loans; Advisor; December 2017; 2 hours per month and 10 minutes per trading hours.; Set up to receive trails on loans executed for my clients.
CRS (Client Relationship Summary) - RIA
Click below to view William Eric Christian's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Eric Christian'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
April 1, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902RIA
BD
CRD#: 291361
Stamford, CT
Current
March 7, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902RIA
CRD#: 294197
Stamford, CT
Current
April 1, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902RIA
BD
CRD#: 291361
Stamford, CT
Past
April 25, 2018 - April 7, 2022
DOMINARI SECURITIES LLC
RIA
CRD#: 18975
GREENWICH, CT
Past
December 15, 2017 - April 7, 2022
DOMINARI SECURITIES LLC
BD
CRD#: 18975
GREENWICH, CT
Past
June 21, 2016 - December 21, 2017
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
WHITE PLAINS, NY
Past
August 27, 2010 - December 21, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
WHITE PLAINS, NY
Past
June 1, 2009 - September 21, 2010
MORGAN STANLEY
BD
CRD#: 149777
MOUNT KISCO, NY
Past
August 20, 1999 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
MOUNT KISCO, 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
Alaska(4/1/2022)
RR
Arizona(4/1/2022)
RR
California(4/1/2022)
RR
Colorado(4/1/2022)
RR
Connecticut(4/1/2022)
IAR
Connecticut(4/1/2022)
RR
Delaware(4/1/2022)
RR
District of Columbia(4/1/2022)
RR
Florida(4/1/2022)
RR
Georgia(4/1/2022)
RR
Illinois(4/1/2022)
RR
Indiana(8/24/2022)
RR
Maine(4/1/2022)
RR
Maryland(4/1/2022)
RR
Massachusetts(4/1/2022)
RR
Michigan(4/1/2022)
RR
Nevada(4/1/2022)
RR
New Hampshire(4/1/2022)
RR
New Jersey(4/1/2022)
RR
New Mexico(4/1/2022)
RR
New York(4/1/2022)
RR
North Carolina(4/1/2022)
RR
Ohio(4/1/2022)
RR
Pennsylvania(4/1/2022)
RR
Rhode Island(8/24/2022)
RR
South Carolina(8/24/2022)
RR
Tennessee(4/1/2022)
RR
Texas(4/1/2022)
IAR
Texas(4/1/2022)
RR
Vermont(4/1/2022)
RR
Virginia(4/1/2022)
RR
Washington(4/1/2022)
RR
Wisconsin(8/24/2022)
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)
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.
