JL
Jessica M. Lee
ROCKEFELLER CAPITAL MANAGEMENT
ARLINGTON, VA 22209
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CRD#: 3015356
JL
Professional summary
Jessica Myra Lee is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Arlington, Virginia and ROCKEFELLER FINANCIAL LLC located in Arlington, Virginia.
Jessica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jessica has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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.
(1) WASHINGTON WELLESLEY CLUB; ADDRESS: PO BOX 3535, WASHINGTON, DC 20027; BUSINESS DESCRIPTION: NON-PROFIT; NOT INVESTMENT RELATED; START DATE: 09/20/2017; CAPACITY: DIRECTOR; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE
(2) SMYAL; ADDRESS: 410 7TH ST SE WASHINGTON, DC 20003; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 09/08/2017; CAPACITY: BOARD OF DIRECTORS; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE
CRS (Client Relationship Summary) - RIA
Click below to view Jessica Myra Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jessica Myra Lee'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
October 10, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 1812 N Moore Street Suite 1700, Arlington, VA 22209RIA
CRD#: 294197
ARLINGTON, VA
Current
October 10, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1812 N Moore St, Suite 1700, Arlington, VA 22209RIA
BD
CRD#: 291361
Arlington, VA
Current
October 10, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1812 N Moore St, Suite 1700, Arlington, VA 22209RIA
BD
CRD#: 291361
Arlington, VA
Past
August 25, 2017 - October 16, 2025
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
WASHINGTON, DC
Past
August 22, 2017 - October 16, 2025
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
WASHINGTON, DC
Past
May 23, 2012 - August 23, 2017
MORGAN STANLEY
RIA
CRD#: 149777
WASHINGTON, DC
Past
April 13, 2012 - August 23, 2017
MORGAN STANLEY
BD
CRD#: 149777
WASHINGTON, DC
Past
October 15, 2003 - November 11, 2004
KATALYST SECURITIES LLC
BD
CRD#: 112494
NEW YORK, NY
Past
March 26, 1999 - August 12, 2003
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
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
District of Columbia(10/10/2025)
RR
Florida(11/10/2025)
RR
Georgia(10/10/2025)
RR
Hawaii(10/10/2025)
RR
Illinois(10/10/2025)
RR
Iowa(10/10/2025)
RR
Maine(10/10/2025)
RR
Maryland(10/10/2025)
RR
Massachusetts(10/23/2025)
RR
Michigan(10/10/2025)
RR
Minnesota(10/10/2025)
RR
New Jersey(10/10/2025)
RR
New York(10/10/2025)
RR
North Carolina(10/10/2025)
RR
Oregon(10/10/2025)
RR
Pennsylvania(10/10/2025)
RR
South Dakota(10/10/2025)
RR
Texas(10/10/2025)
IAR
Texas(10/10/2025)
RR
Vermont(10/23/2025)
RR
Virginia(10/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
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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.
