Samuel T. Barden

ROCKEFELLER FINANCIAL LLC

Charlotte, NC 28209

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CRD#: 4323859

Professional summary

Samuel Taylor Barden, CIMA®, CPWA®, who also goes by S. Taylor Barden, Samuel Taylor Barden, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Charlotte, North Carolina.

Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Samuel has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

S. Taylor Barden | Samuel Taylor Barden

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.

1)OLLIE B LLC MRS. ELISABETH BARDEN.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Taylor Barden's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Samuel Taylor Barden's CRS (Customer Relationship Summary).

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®

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2015-08-06

Expire date: 2024-06-30

Experience

Current

February 8, 2024 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209

RIA

CRD#: 291361

Charlotte, NC

Current

February 8, 2024 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209

RIA

CRD#: 291361

Charlotte, NC

Past

June 1, 2009 - February 14, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Charlotte, NC

Past

June 1, 2009 - February 14, 2024

MORGAN STANLEY

CRD#: 149777

Charlotte, NC

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

CHARLOTTE, NC

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

CHARLOTTE, NC

Past

February 8, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CHARLOTTE, NC

Past

February 8, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

CHARLOTTE, NC

Past

March 22, 2002 - February 16, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CHARLOTTE, NC

Past

December 20, 2001 - February 16, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CHARLOTTE, NC

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".

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)

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.

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

Alabama
(2/8/2024)

Alaska
(11/6/2024)

Arizona
(2/8/2024)

California
(2/8/2024)

Colorado
(2/8/2024)

Connecticut
(2/8/2024)

Delaware
(2/8/2024)

District of Columbia
(2/8/2024)

Florida
(2/8/2024)

Georgia
(2/8/2024)

Hawaii
(2/8/2024)

Idaho
(2/8/2024)

Illinois
(2/8/2024)

Indiana
(2/8/2024)

Kentucky
(2/8/2024)

Louisiana
(2/8/2024)

Maryland
(2/8/2024)

Massachusetts
(2/8/2024)

Michigan
(2/8/2024)

Mississippi
(1/29/2025)

Montana
(2/8/2024)

New Jersey
(2/8/2024)

New Mexico
(2/8/2024)

New York
(2/8/2024)

North Carolina
(2/8/2024)

IAR

North Carolina
(2/8/2024)

Ohio
(2/8/2024)

Pennsylvania
(2/8/2024)

Puerto Rico
(2/8/2024)

South Carolina
(2/8/2024)

Tennessee
(2/8/2024)

Texas
(2/8/2024)

IAR

Texas
(2/8/2024)

Virginia
(2/8/2024)

Washington
(2/8/2024)

West Virginia
(2/8/2024)

Wisconsin
(10/15/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/11/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/21/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/19/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (8.25.25) (8/25/2025)

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (8.25.25) (8/25/2025)

Direct owners and executive officers

Name	Position	CRD#
RFS OPCO LLC ("OPCO")	MEMBER
ALEXANDER, MARK DAVID	PRINCIPAL OPERATIONS OFFICER	2202934
DUPUY, CHRISTOPHER TREVOR	PRESIDENT & CEO	1749982
KOWALSKI, DEIRDRE PATTEN	PRINCIPAL FINANCIAL OFFICER	1357509
MIRZA, RIZWAN MOHAMMAD	CCO	5080469
YANNOTTA, WILLIAM MICHAEL	CHIEF FINANCIAL OFFICER	5912733

Regulatory assets under management

Total Number of Accounts	76,628
AUM (Assets Under Management)	$ 70,030,224,514

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
08/26/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Samuel T. Barden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Taylor Barden's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Samuel Taylor Barden's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKEFELLER FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/11/2002

SIE

Date: 10/1/2018

Series 31

Date: 2/21/2002

Series 7

Date: 12/19/2001

FINRA

Current Firm

ROCKEFELLER FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROCKEFELLER FINANCIAL LLC

TRUST BUT VERIFY

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