DJ
Debra Jones-mcconnell
ROCKEFELLER FINANCIAL LLC
Charlotte, NC 28209
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CRD#: 3187080
DJ
Professional summary
Debra Jones-mcconnell, who also goes by Debra A Jones, Debra Jonesmcconnell, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Charlotte, North Carolina.
Debra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Debra has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Debra A Jones | Debra Jonesmcconnell
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.
* 470819- Rental Property; Investment related Yes;1410 Central, Kannapolis, State; North Carolina; Other (proprietor, partner, officer, director, employee, trustee, agent); 01/2022; During business hours: 0; After business hours: 1; Property Management *470816- Conrick Investments (NC) 2 LLC; Investment related -No; Madison, Wisconsin; Real Estate; Member LLC (proprietor, partner, officer, director, employee, trustee, agent); 12/2021; During business hours: 0; After business hours: 0; Passive Member
CRS (Client Relationship Summary) - RIA
Click below to view Debra Jones-mcconnell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Debra Jones-mcconnell'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
September 29, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209RIA
BD
CRD#: 291361
Charlotte, NC
Current
September 29, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209RIA
BD
CRD#: 291361
Charlotte, NC
Past
October 23, 2012 - October 4, 2023
MORGAN STANLEY
RIA
CRD#: 149777
Birmingham, MI
Past
April 10, 2012 - October 4, 2023
MORGAN STANLEY
BD
CRD#: 149777
Birmingham, MI
Past
May 20, 2009 - April 24, 2012
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
GROSSE POINTE, MI
Past
January 21, 2003 - January 16, 2004
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
DETROIT, MI
Past
April 13, 1999 - January 16, 2004
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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(10/13/2023)
RR
Arizona(9/29/2023)
RR
California(9/29/2023)
RR
Colorado(10/4/2023)
RR
Connecticut(9/29/2023)
RR
Delaware(10/19/2023)
RR
Florida(9/29/2023)
RR
Georgia(12/7/2023)
RR
Louisiana(9/29/2023)
RR
Maryland(9/29/2023)
RR
Massachusetts(9/29/2023)
RR
Michigan(9/29/2023)
IAR
Michigan(10/2/2023)
RR
Montana(10/17/2023)
RR
New Jersey(9/29/2023)
RR
New York(9/29/2023)
RR
North Carolina(9/29/2023)
IAR
North Carolina(8/16/2024)
RR
Ohio(9/29/2023)
RR
Pennsylvania(9/29/2023)
RR
Rhode Island(9/29/2023)
RR
South Carolina(9/29/2023)
RR
Tennessee(9/29/2023)
RR
Texas(9/29/2023)
IAR
Texas(9/29/2023)
RR
Virgin Islands(10/13/2023)
RR
Virginia(10/4/2023)
RR
Washington(4/3/2025)
RR
Wisconsin(10/3/2023)
RR
Wyoming(10/9/2023)
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)
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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.
