Joshua G. Parker
ROCKEFELLER FINANCIAL | Senior Vice President, Wealth Management Advisor, Portfolio Manager
Palm Beach Gardens, FL 33410
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CRD#: 4297169
Professional summary
Joshua G Parker, CPWA® is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Palm Beach Gardens, Florida.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Joshua has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Biography
Josh has been an advisor since 2001, he focuses on wealth planning, investing for growth and retirement income strategies. He holds the Certified Private Wealth Advisor® designation. Josh is also a qualified Portfolio Manager, who can help clients pursue their objectives by managing on a discretionary basis his own Personalized or Defined Strategies, which may incorporate individual stocks and bonds, Merrill Lynch model portfolios, and third-party investment strategies.
Josh is also a wine scholar and earned the Level 3 Award from the WSET® out of London and the Vermont Wine School. Josh graduated from Deerfield Academy in 1992 and The University of Miami in 1996. Josh currently sits on the Board of the Boys and Girls Club of Burlington and was formerly on the board of the Vermont Folklife Center in Middlebury. He enjoys cooking, golfing, mountain biking and snowboarding. Josh resides in Richmond, VT with his wife, Iveta, and children.
Question & Answer
What are your service offerings?
Loans/credit services
Trading individual securities
Trust & estate planning
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
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 Joshua G Parker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joshua G Parker'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®
CPWA®
Start date: 2017-01-04
Expire date: 2024-12-31
Experience
Current
July 8, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410RIA
BD
CRD#: 291361
Palm Beach Gardens, FL
Current
July 8, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410RIA
BD
CRD#: 291361
Palm Beach Gardens, FL
Past
December 5, 2008 - July 12, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BURLINGTON, VT
Past
December 5, 2008 - July 12, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BURLINGTON, VT
Past
April 2, 2007 - December 5, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
BURLINGTON, VT
Past
April 2, 2007 - December 26, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
BURLINGTON, VT
Past
March 30, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
BURLINGTON, VT
Past
January 1, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
BURLINGTON, VT
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(7/8/2022)
RR
Arizona(7/8/2022)
RR
California(7/8/2022)
RR
Connecticut(7/8/2022)
RR
Florida(7/8/2022)
IAR
Florida(2/8/2023)
RR
Georgia(7/8/2022)
RR
Kentucky(7/8/2022)
RR
Louisiana(7/8/2022)
RR
Maine(7/8/2022)
RR
Maryland(7/8/2022)
RR
Massachusetts(7/8/2022)
RR
Michigan(7/8/2022)
RR
Montana(7/8/2022)
RR
New Hampshire(2/3/2026)
RR
New York(7/8/2022)
RR
North Carolina(7/8/2022)
RR
Ohio(7/8/2022)
RR
Oklahoma(12/16/2025)
RR
Oregon(7/8/2022)
RR
Pennsylvania(7/8/2022)
RR
Puerto Rico(10/1/2025)
RR
South Carolina(7/8/2022)
RR
Texas(7/8/2022)
IAR
Texas(7/8/2022)
IAR
Vermont(7/11/2022)
RR
Vermont(7/13/2022)
RR
Virginia(7/8/2022)
RR
Wyoming(7/8/2022)
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
| Name | Position | CRD# |
|---|---|---|
| RFS OPCO LLC ("OPCO") | MEMBER | |
| ALEXANDER, MARK DAVID | PRINCIPAL OPERATIONS OFFICER | 2202934 |
| KOWALSKI, DEIRDRE PATTEN | PRINCIPAL FINANCIAL OFFICER | 1357509 |
| MIRZA, RIZWAN MOHAMMAD | CHIEF COMPLIANCE OFFICER | 5080469 |
| MORIARTY, EDMOND NICHOLAS | CO-CHIEF EXECUTIVE OFFICER | 1744318 |
| OUTLAW, MICHAEL WAYNE | CO-CHIEF EXECUTIVE OFFICER | 2760690 |
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROCKEFELLER FINANCIAL LLC
Senior Vice President, Wealth Management Advisor, Portfolio ManagerCRD#: 291361Palm Beach Gardens, FL 33410TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
