HH
Hunter S. Hamm
ROCKEFELLER FINANCIAL LLC
Atlanta, GA 30305
Some features on this profile are disabled
CRD#: 4435104
HH
Professional summary
Hunter Steven Hamm is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Atlanta, Georgia and ROCKEFELLER CAPITAL MANAGEMENT located in Atlanta, Georgia.
Hunter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Hunter has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 27 exams.
Question & Answer
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.
*414851 - Firethorn Ventures LLC; Investment related Yes; Atlanta, GA; Real Estate; Partner, (proprietor, partner, officer, director, employee, trustee, agent); Dec 2020; During business hours: 0; After business hours: 1; Passive Investor 100 Villa Magnolia LLC, investment related; 100 Villa Magnolia Lane, Alpharetta GA 30009; Owner; State date: 08/30/2021; Zero hours devoted to the LLC a month or during trading hours.; Responsible for property taxes, HOA fees, utilities, etc.
CRS (Client Relationship Summary) - RIA
Click below to view Hunter Steven Hamm's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hunter Steven Hamm'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
January 7, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305RIA
BD
CRD#: 291361
Atlanta, GA
Current
February 22, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305RIA
CRD#: 294197
ATLANTA, GA
Current
January 7, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305RIA
BD
CRD#: 291361
Atlanta, GA
Past
February 10, 2012 - January 27, 2022
MORGAN STANLEY
RIA
CRD#: 149777
Atlanta, GA
Past
February 10, 2012 - January 27, 2022
MORGAN STANLEY
BD
CRD#: 149777
Atlanta, GA
Past
October 29, 2010 - February 22, 2012
BARCLAYS CAPITAL INC.
RIA
CRD#: 19714
ATLANTA, GA
Past
October 29, 2010 - February 22, 2012
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
ATLANTA, GA
Past
May 29, 2008 - November 5, 2010
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ATLANTA, GA
Past
May 2, 2008 - November 5, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
ATLANTA, GA
Past
December 4, 2001 - March 13, 2007
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
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(1/31/2022)
RR
Arizona(1/7/2022)
RR
Arkansas(1/7/2022)
RR
California(1/7/2022)
RR
Colorado(1/7/2022)
RR
Delaware(2/3/2022)
RR
Florida(1/7/2022)
RR
Georgia(1/10/2022)
IAR
Georgia(1/10/2022)
RR
Idaho(10/3/2023)
RR
Illinois(1/13/2022)
RR
Indiana(1/7/2022)
RR
Kansas(6/12/2023)
RR
Kentucky(1/7/2022)
RR
Louisiana(1/7/2022)
RR
Maryland(1/7/2022)
RR
Massachusetts(1/7/2022)
RR
Michigan(1/7/2022)
RR
Minnesota(1/28/2022)
RR
Mississippi(1/7/2022)
RR
Missouri(1/7/2022)
RR
Nevada(1/7/2022)
RR
New Jersey(1/7/2022)
RR
New York(1/7/2022)
RR
North Carolina(11/22/2022)
RR
Ohio(1/7/2022)
RR
Oklahoma(3/13/2023)
RR
Oregon(1/24/2025)
RR
Puerto Rico(1/16/2024)
RR
South Carolina(1/7/2022)
RR
Tennessee(1/7/2022)
RR
Texas(1/7/2022)
IAR
Texas(1/7/2022)
IAR
Texas(2/22/2024)
RR
Utah(1/7/2022)
RR
Virginia(3/13/2023)
RR
Washington(1/7/2022)
RR
Wyoming(3/19/2024)
Exams
State Security Law Exam
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.
