SS
Shay W. Scruggs
ROCKEFELLER FINANCIAL LLC
Houston, TX 77027
Some features on this profile are disabled
CRD#: 4173046
SS
Professional summary
Shay W Scruggs is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Houston, Texas.
Shay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Shay has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Shay W Scruggs's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shay W Scruggs'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
June 5, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1600 West Loop South, Suite 700, Houston, TX 77027RIA
BD
CRD#: 291361
Houston, TX
Current
June 5, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1600 West Loop South, Suite 700, Houston, TX 77027RIA
BD
CRD#: 291361
Houston, TX
Past
May 2, 2014 - July 2, 2020
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
May 2, 2014 - July 2, 2020
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HOUSTON, TX
Past
January 15, 2010 - May 13, 2014
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
HOUSTON, TX
Past
January 15, 2010 - May 13, 2014
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
HOUSTON, TX
Past
July 15, 2005 - January 25, 2010
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BRYAN, TX
Past
July 15, 2005 - January 25, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BRYAN, TX
Past
July 5, 2000 - July 19, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
COLLEGE STATION, TX
Past
June 13, 2000 - July 19, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
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".
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(6/5/2020)
RR
Arkansas(6/5/2020)
RR
California(6/5/2020)
RR
Colorado(6/5/2020)
RR
Delaware(6/5/2020)
RR
District of Columbia(5/13/2021)
RR
Florida(6/5/2020)
RR
Georgia(6/5/2020)
RR
Louisiana(6/5/2020)
RR
Massachusetts(6/5/2020)
RR
New York(6/5/2020)
RR
Ohio(6/5/2020)
RR
Tennessee(1/29/2021)
RR
Texas(6/5/2020)
IAR
Texas(6/5/2020)
Exams
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.
