Michael J. Merlin
ROCKEFELLER FINANCIAL LLC | Managing Director
Atlanta, GA 30305
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CRD#: 3058013
Professional summary
Michael Joseph Merlin, CFP® is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Atlanta, Georgia and ROCKEFELLER CAPITAL MANAGEMENT located in Atlanta, Georgia.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Trading individual securities
Philanthropic services
Financial planning
Trust & estate planning
Insurance
Executive services/Equity comp...
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
5M
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.
CFL MANAGEMENT; SOLE PROPRIETOR/OWNER; REAL ESTATE INVSESTMENTS; .19 HOURS DURING 0 HOURS AFTER BUSNIES HOURS; 1/2000 Since 2015, Director for Non Profit Org, Atlanta Jewish Foundation. Is Securities related. Provides advisory services approximately 1 hour per month Petros Partners, LLC - 3350 Riverwood Parkway, Suite 1600, Atlanta, Georgia 30339; LLC formed to invest in the equity of a private company - investment related; Successor Manager; July 2020; 1 hour per month and no time spent during business hours
CRS (Client Relationship Summary) - RIA
Click below to view Michael Joseph Merlin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Joseph Merlin'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®
Experience
Current
January 10, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305RIA
BD
CRD#: 291361
Atlanta, GA
Current
February 22, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305RIA
CRD#: 294197
ATLANTA, GA
Current
January 10, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305RIA
BD
CRD#: 291361
Atlanta, GA
Past
June 1, 2009 - January 14, 2020
MORGAN STANLEY
RIA
CRD#: 149777
ATLANTA, GA
Past
June 1, 2009 - January 14, 2020
MORGAN STANLEY
BD
CRD#: 149777
ATLANTA, GA
Past
April 17, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ATLANTA, GA
Past
June 25, 1998 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ATLANTA, GA
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(1/10/2020)
RR
Alaska(2/25/2020)
RR
California(1/10/2020)
RR
Colorado(1/10/2020)
RR
Connecticut(2/25/2020)
RR
Delaware(1/10/2020)
RR
District of Columbia(2/25/2020)
RR
Florida(1/10/2020)
RR
Georgia(1/10/2020)
IAR
Georgia(1/30/2020)
RR
Idaho(1/10/2020)
RR
Illinois(1/10/2020)
RR
Indiana(1/10/2020)
RR
Iowa(1/10/2020)
RR
Louisiana(1/10/2020)
RR
Maine(2/25/2020)
RR
Maryland(1/10/2020)
RR
Massachusetts(1/10/2020)
RR
Michigan(1/10/2020)
RR
Missouri(2/25/2020)
RR
Nevada(2/25/2020)
RR
New Hampshire(1/10/2020)
RR
New Jersey(1/10/2020)
RR
New Mexico(2/25/2020)
RR
New York(1/10/2020)
RR
North Carolina(1/10/2020)
RR
Ohio(1/10/2020)
RR
Oregon(1/10/2020)
RR
Pennsylvania(1/10/2020)
RR
South Carolina(1/10/2020)
RR
Tennessee(1/10/2020)
RR
Texas(1/10/2020)
IAR
Texas(1/10/2020)
RR
Virginia(1/10/2020)
RR
Washington(1/10/2020)
RR
West Virginia(1/10/2020)
Exams
State Security Law Exam
State Security Law 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.
Company Information
ROCKEFELLER FINANCIAL LLC
Managing DirectorCRD#: 291361Atlanta, GA 30305TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
