RE
Robert Echavarria
ROCKEFELLER FINANCIAL LLC
San Antonio, TX 78215
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CRD#: 4250401
RE
Professional summary
Robert Echavarria, who also goes by Bob Echavarria, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in San Antonio, Texas.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 3 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Echavarria
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*105155
For profit or not for profit: Non-Profit Organization
Name of outside business organization: AVANCE
Investment related: N
Address of business:
San Antonio, Texas 78226
Nature of business: Charitable Organization,
Position, title, association: Director,
Start date of relationship: 7/3/2017
Number of hours devoted: 40 hour(s) Annually
Number of hours devoted during trading hours: 20
Duties: Avance unlocks America's potential by strengthening families in at-risk communities through effective parent education and support programs.
Attend board meetings, volunteer in at least one committee, make personal contribution, advocate for Avance
CRS (Client Relationship Summary) - RIA
Click below to view Robert Echavarria's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Echavarria'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 15, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1900 Broadway Street Suite 660, San Antonio, TX 78215RIA
BD
CRD#: 291361
San Antonio, TX
Current
October 15, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1900 Broadway Street Suite 660, San Antonio, TX 78215RIA
BD
CRD#: 291361
San Antonio, TX
Past
July 13, 2012 - October 19, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN ANTONIO, TX
Past
July 13, 2012 - October 19, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN ANTONIO, TX
Past
May 18, 2007 - July 15, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
RIA
CRD#: 17086
SAN ANTONIO, TX
Past
April 27, 2007 - July 19, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
SAN ANTONIO, TX
Past
November 3, 2000 - May 2, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN ANTONIO, TX
Past
October 12, 2000 - May 2, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN ANTONIO, TX
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(10/15/2021)
RR
California(10/15/2021)
RR
Colorado(10/15/2021)
RR
District of Columbia(10/15/2021)
RR
Florida(10/15/2021)
RR
Georgia(10/15/2021)
RR
Idaho(10/15/2021)
RR
Illinois(10/15/2021)
RR
Indiana(10/15/2021)
RR
Maryland(10/15/2021)
RR
Massachusetts(10/15/2021)
RR
Michigan(10/15/2021)
RR
Missouri(10/15/2021)
RR
Nevada(10/15/2021)
RR
New Mexico(10/15/2021)
RR
New York(10/15/2021)
RR
North Carolina(10/15/2021)
RR
Ohio(10/20/2021)
RR
Oklahoma(10/15/2021)
RR
South Carolina(10/15/2021)
RR
Tennessee(10/15/2021)
RR
Texas(10/15/2021)
IAR
Texas(10/15/2021)
RR
Utah(10/15/2021)
RR
Virginia(10/15/2021)
RR
Washington(10/15/2021)
RR
Wisconsin(10/15/2021)
RR
Wyoming(10/15/2021)
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.
