TO
Thomas P. O'rourke
ROCKEFELLER FINANCIAL LLC
Grand Rapids, MI 49503
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CRD#: 4269787
TO
Professional summary
Thomas Patrick O'rourke, who also goes by Tom O'rourke, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Grand Rapids, Michigan.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom O'rourke
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 Thomas Patrick O'rourke's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Patrick O'rourke'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
May 13, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Ottawa Ave Sw, Suite 700, Grand Rapids, MI 49503RIA
BD
CRD#: 291361
Grand Rapids, MI
Current
May 13, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Ottawa Ave Sw, Suite 700, Grand Rapids, MI 49503RIA
BD
CRD#: 291361
Grand Rapids, MI
Past
February 11, 2014 - January 16, 2024
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
PRINCETON, NJ
Past
January 3, 2014 - January 16, 2024
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
PRINCETON, NJ
Past
September 29, 2006 - August 16, 2012
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
PLAINSBORO, NJ
Past
September 29, 2006 - August 16, 2012
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
NEW YORK, NY
Past
September 25, 2001 - September 29, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
RIA
CRD#: 105068
DALLAS, TX
Past
September 27, 2000 - September 29, 2006
FAM DISTRIBUTORS, INC.
BD
CRD#: 4100
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
Alabama(5/13/2024)
RR
Arizona(5/13/2024)
RR
Arkansas(5/13/2024)
RR
California(5/13/2024)
RR
Colorado(5/13/2024)
RR
Connecticut(5/13/2024)
RR
Delaware(5/13/2024)
RR
District of Columbia(5/13/2024)
RR
Florida(5/13/2024)
RR
Georgia(5/13/2024)
RR
Idaho(5/13/2024)
RR
Illinois(5/13/2024)
RR
Indiana(5/13/2024)
RR
Iowa(5/13/2024)
RR
Kentucky(5/13/2024)
RR
Louisiana(5/13/2024)
RR
Maryland(5/13/2024)
RR
Massachusetts(5/13/2024)
RR
Michigan(5/13/2024)
IAR
Michigan(5/13/2024)
RR
Minnesota(5/13/2024)
RR
Mississippi(5/13/2024)
RR
Missouri(5/13/2024)
RR
Nebraska(5/13/2024)
RR
Nevada(5/13/2024)
RR
New Jersey(5/13/2024)
RR
New Mexico(5/13/2024)
RR
New York(5/13/2024)
RR
North Carolina(5/13/2024)
RR
Ohio(5/13/2024)
RR
Oklahoma(5/13/2024)
RR
Pennsylvania(5/13/2024)
RR
Rhode Island(5/13/2024)
RR
South Carolina(5/13/2024)
RR
South Dakota(5/13/2024)
RR
Tennessee(5/13/2024)
RR
Texas(5/13/2024)
IAR
Texas(5/13/2024)
RR
Utah(5/13/2024)
RR
Virginia(5/13/2024)
RR
Washington(5/13/2024)
RR
Wisconsin(5/13/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
CRD#: 291361Grand Rapids, MI 49503TRUST BUT VERIFY
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