LB
Lisa K. Barnes
ROCKEFELLER FINANCIAL LLC
Tahlequah, OK
Some features on this profile are disabled
CRD#: 4364504
LB
Professional summary
Lisa K Barnes, who also goes by Lisa Kay Barnes, Lisa Barnes, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Tahlequah, Oklahoma.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Lisa has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Kay Barnes | Lisa Barnes
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*960254, Name of OBA: Jim's Razorback Pizza Address: Siloam Springs, AR Investment Related: No Position, Title, Association: Employee Employee Start Date: 8/18/2022 No Hours: 12 Weekly No Hours during trading: 0 Duties: Assist with catering, delivering, serving, etc. I*1536290 For profit or not for profit: Entity For Profit Name of outside business organization: Moody's Store Investment related: N Address of business: Tahlequah, Oklahoma, 74464, United States Nature of business: ["Sole Proprietorship"] Position, title, association: ["Employee"], Start date of relationship: 10/21/2023 Number of hours devoted: 16 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Servicing store customers when they come in
CRS (Client Relationship Summary) - RIA
Click below to view Lisa K Barnes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa K Barnes'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
November 29, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #2: 609 Sw 8th Street 6th Floor, Bentonville, AR, 72712RIA
BD
CRD#: 291361
Tahlequah, OK
Current
November 29, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 609 Sw 8th Street 6th Floor, Bentonville, AR, 72712RIA
BD
CRD#: 291361
Bentonville, AR
Past
October 24, 2018 - December 5, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ROGERS, AR
Past
October 23, 2018 - December 5, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ROGERS, AR
Past
May 11, 2012 - August 17, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
TULSA, OK
Past
May 11, 2012 - August 17, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
TULSA, OK
Past
June 1, 2009 - May 17, 2012
MORGAN STANLEY
RIA
CRD#: 149777
TULSA, OK
Past
June 1, 2009 - May 17, 2012
MORGAN STANLEY
BD
CRD#: 149777
TULSA, OK
Past
February 28, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
TULSA, OK
Past
February 26, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
TULSA, OK
Past
May 10, 2007 - February 8, 2008
J.P. MORGAN SECURITIES INC.
RIA
CRD#: 18718
TULSA, OK
Past
February 5, 2007 - February 8, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
TULSA, OK
Past
March 13, 2001 - February 14, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
TULSA, OK
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(12/6/2024)
RR
Arizona(11/29/2024)
RR
Arkansas(11/29/2024)
IAR
Arkansas(11/29/2024)
RR
California(11/29/2024)
RR
Colorado(11/29/2024)
RR
Delaware(11/29/2024)
RR
Florida(11/29/2024)
RR
Georgia(11/29/2024)
RR
Idaho(11/29/2024)
RR
Illinois(12/3/2024)
RR
Indiana(11/29/2024)
RR
Kansas(11/29/2024)
RR
Kentucky(11/29/2024)
RR
Louisiana(11/29/2024)
RR
Maryland(11/29/2024)
RR
Missouri(11/29/2024)
RR
Montana(11/29/2024)
RR
Nevada(11/29/2024)
RR
New Hampshire(11/29/2024)
RR
New Jersey(11/29/2024)
RR
New York(11/29/2024)
RR
North Carolina(11/29/2024)
RR
Ohio(11/29/2024)
RR
Oklahoma(11/29/2024)
IAR
Oklahoma(12/2/2024)
RR
Oregon(11/29/2024)
RR
Pennsylvania(11/29/2024)
RR
South Carolina(11/29/2024)
RR
Tennessee(11/29/2024)
RR
Texas(11/29/2024)
IAR
Texas(11/29/2024)
RR
Virginia(11/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
