CD
Christopher M. Degrace
ROCKEFELLER FINANCIAL LLC
Winter Park, FL 32789
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CRD#: 4418351
CD
Professional summary
Christopher Michael Degrace, CFA, who also goes by Chris Degrace, Christopher M Degrace, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Winter Park, Florida.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Christopher has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Degrace | Christopher M Degrace
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) AHA Fund 1 LLC, Universit Sun Estates 2&3; Investment Related; 2503 Versailles Way, Winter Park, FL 32789; Real Estate; Limited Partner; 10/2001; Zero hours per month; Real Estate Investments. 2) Florida Sun Estates LLC; Investment Related; 2503 Versailles Ave, Winter Park, FL 32789; Real Estate; Limited Partner; 08/2021; Zero hours per month; Real Estate Investments. 3) St Pete Sun Estates 1&2 LLC; Investment Related; 2503 Versailles Ave, Winter Park, FL 32789; Real Estate; Limited Partner; 08/2021; Zero hours per month; Real Estate Investments. 4) Village Sun Estates LLC , Tampa Sun Estates 5; Investment Related; 2503 Versailles Ave, Winter Park, FL 32789; Real Estate; Limited Partner; 08/2021; Zero hours per month; Real Estate Investments. 5) DeGrace Family Holdings LLC; Investment related; Winter Park, FL; Part partner of LLC; 07/01/2025; 1 hour a quarter and 0 hours during trading hours. LLC created to hold investments and real estate.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Michael Degrace's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Michael Degrace'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®
Experience
Current
June 16, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 271 West Canton Ave., Suite 100, Winter Park, FL 32789RIA
BD
CRD#: 291361
Winter Park, FL
Current
June 16, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 271 West Canton Ave., Suite 100, Winter Park, FL 32789RIA
BD
CRD#: 291361
Winter Park, FL
Past
August 26, 2016 - June 23, 2023
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
ORLANDO, FL
Past
June 26, 2006 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
WINTER PARK, FL
Past
May 24, 2006 - June 23, 2023
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
WINTER PARK, FL
Past
July 7, 2005 - May 24, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ORLANDO, FL
Past
June 29, 2005 - May 24, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ORLANDO, FL
Past
August 31, 2004 - April 28, 2005
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
ATLANTA, GA
Past
February 28, 2002 - April 28, 2005
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
August 17, 2001 - March 6, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
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(6/16/2023)
RR
Arizona(6/30/2025)
RR
California(6/16/2023)
RR
Colorado(6/16/2023)
RR
District of Columbia(1/5/2024)
RR
Florida(6/16/2023)
IAR
Florida(6/30/2023)
RR
Georgia(6/16/2023)
RR
Illinois(6/16/2023)
RR
Maine(6/16/2023)
RR
Michigan(6/16/2023)
RR
Minnesota(6/16/2023)
RR
Montana(10/9/2024)
RR
Nevada(6/16/2023)
RR
New Jersey(1/15/2025)
RR
North Carolina(6/16/2023)
RR
Ohio(6/16/2023)
RR
Tennessee(6/16/2023)
RR
Texas(6/16/2023)
IAR
Texas(6/16/2023)
RR
Virginia(6/16/2023)
RR
Wyoming(10/23/2025)
Exams
State Security Law 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.
Company Information
ROCKEFELLER FINANCIAL LLC
CRD#: 291361Winter Park, FL 32789TRUST BUT VERIFY
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