JM
James A. Mckenzie
ROCKEFELLER FINANCIAL LLC | Financial Advisor
Palm Beach Gardens, FL 33410
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CRD#: 3114262
JM
Professional summary
James Allen Mckenzie, who also goes by Jim Mckenzie, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Palm Beach Gardens, Florida and ROCKEFELLER CAPITAL MANAGEMENT located in Palm Beach Gardens, Florida.
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 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
What are your service offerings?
Insurance
Trading individual securities
Financial planning
Trust & estate planning
Institutional consulting
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
250K
Are you a "fiduciary"?
Yes
Aliases
Jim Mckenzie
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.
I*115728
For profit or not for profit: Non-Profit Organization
Name of outside business organization: Palm Beach Atlantic University
Investment related: N
Address of business:
West Palm Beach, Florida 33416
Nature of business: Other,Public, accredited 4-year university
Position, title, association: Part-Time,
Start date of relationship: 8/23/2018
Number of hours devoted: 10 hour(s) Monthly
Number of hours devoted during trading hours: 0
Duties: Adjunct professor, Rinker School of Business. Teach 1 night/week, Issues in International Business, BUI 3013. I previously was approved and taught a similar class at PBAU in 2007-08.
CRS (Client Relationship Summary) - RIA
Click below to view James Allen Mckenzie's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Allen Mckenzie'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 20, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410RIA
BD
CRD#: 291361
Palm Beach Gardens, FL
Current
November 5, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 3835 Pga Boulevard Suite 307, Palm Beach Gardens, FL 33410RIA
CRD#: 294197
Palm Beach Gardens, FL
Current
October 20, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410RIA
BD
CRD#: 291361
Palm Beach Gardens, FL
Past
May 31, 2012 - October 24, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
JUPITER, FL
Past
May 31, 2012 - October 24, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
JUPITER, FL
Past
June 1, 2009 - June 21, 2012
MORGAN STANLEY
RIA
CRD#: 149777
PLANTATION, FL
Past
June 1, 2009 - June 21, 2012
MORGAN STANLEY
BD
CRD#: 149777
PLANTATION, FL
Past
January 17, 2006 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
PALM BEACH, FL
Past
January 13, 2006 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
PALM BEACH, FL
Past
October 26, 1998 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PLANTATION, FL
Past
October 22, 1998 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PLANTATION, FL
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
Arizona(10/20/2023)
RR
California(10/20/2023)
RR
Colorado(10/20/2023)
RR
Connecticut(10/20/2023)
RR
Delaware(10/20/2023)
RR
District of Columbia(10/20/2023)
RR
Florida(10/20/2023)
IAR
Florida(11/13/2023)
RR
Georgia(10/20/2023)
RR
Maine(10/20/2023)
RR
Maryland(10/20/2023)
RR
Massachusetts(10/23/2023)
RR
Michigan(10/20/2023)
RR
Minnesota(11/13/2023)
RR
Mississippi(2/22/2024)
RR
Missouri(10/20/2023)
RR
Nebraska(10/20/2023)
RR
Nevada(10/20/2023)
RR
New Hampshire(10/20/2023)
RR
New Jersey(10/20/2023)
RR
New York(10/20/2023)
RR
North Carolina(10/20/2023)
RR
Ohio(10/20/2023)
RR
Pennsylvania(10/20/2023)
RR
South Carolina(10/20/2023)
RR
Tennessee(10/20/2023)
RR
Texas(10/20/2023)
IAR
Texas(10/20/2023)
IAR
Texas(11/5/2025)
RR
Vermont(10/20/2023)
RR
Virgin Islands(6/11/2025)
RR
Virginia(10/20/2023)
RR
Washington(10/20/2023)
RR
Wisconsin(10/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
ROCKEFELLER FINANCIAL LLC
Financial AdvisorCRD#: 291361Palm Beach Gardens, FL 33410TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
