James C. Augustine

ROCKEFELLER FINANCIAL LLC

San Antonio, TX 78215

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CRD#: 3105173

Professional summary

James Christopher Augustine, CIMA®, who also goes by James C Augustine, James Augustine, Jimmy Augustine, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in San Antonio, Texas.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. James has worked at 3 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James C Augustine | James Augustine | Jimmy Augustine

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Christopher Augustine's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Christopher Augustine's CRS (Customer Relationship Summary).

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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

April 1, 2021 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 1900 Broadway Street Suite 660, San Antonio, TX 78215

RIA

CRD#: 291361

San Antonio, TX

Current

April 1, 2021 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 1900 Broadway Street Suite 660, San Antonio, TX 78215

RIA

CRD#: 291361

San Antonio, TX

Past

September 10, 2004 - April 29, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN ANTONIO, TX

Past

September 10, 2004 - April 29, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN ANTONIO, TX

Past

October 22, 1998 - September 14, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN ANTONIO, TX

Past

October 14, 1998 - September 14, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

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)

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.

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

Alabama
(5/5/2023)

Arizona
(4/1/2021)

California
(4/1/2021)

Florida
(4/1/2021)

Georgia
(4/1/2021)

Hawaii
(12/18/2024)

Louisiana
(4/1/2021)

Maryland
(5/10/2021)

Massachusetts
(4/1/2021)

Michigan
(4/1/2021)

North Carolina
(4/1/2021)

Ohio
(5/28/2021)

South Carolina
(4/1/2021)

Tennessee
(4/1/2021)

Texas
(4/1/2021)

IAR

Texas
(4/1/2021)

Virginia
(4/1/2021)

Washington
(4/1/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/21/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/28/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/5/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/8/2009

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/24/2009

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (8.25.25) (8/25/2025)

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (8.25.25) (8/25/2025)

Direct owners and executive officers

Name	Position	CRD#
RFS OPCO LLC ("OPCO")	MEMBER
ALEXANDER, MARK DAVID	PRINCIPAL OPERATIONS OFFICER	2202934
DUPUY, CHRISTOPHER TREVOR	PRESIDENT & CEO	1749982
KOWALSKI, DEIRDRE PATTEN	PRINCIPAL FINANCIAL OFFICER	1357509
MIRZA, RIZWAN MOHAMMAD	CCO	5080469
YANNOTTA, WILLIAM MICHAEL	CHIEF FINANCIAL OFFICER	5912733

Regulatory assets under management

Total Number of Accounts	76,628
AUM (Assets Under Management)	$ 70,030,224,514

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
08/26/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

James C. Augustine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Christopher Augustine's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Christopher Augustine's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKEFELLER FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/21/1998

SIE

Date: 10/1/2018

Series 31

Date: 7/28/2003

Series 7

Date: 10/5/1998

Series 10

Date: 9/8/2009

Series 9

Date: 8/24/2009

FINRA

Current Firm

ROCKEFELLER FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROCKEFELLER FINANCIAL LLC

TRUST BUT VERIFY

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