Garrett M. Jones
ROCKEFELLER FINANCIAL LLC | Managing Director - Wealth Management Advisor
Winter Park, FL 32789
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CRD#: 4443734
Professional summary
Garrett M Jones, CIMA®, CPWA® is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Winter Park, Florida.
Garrett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Garrett has worked at 2 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Trust & estate planning
Loans/credit services
Financial planning
Philanthropic services
Institutional consulting
Executive services/Equity comp...
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
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.
I*128973
For profit or not for profit: Non-Profit Organization
Name of outside business organization: The Jobs Partnership of Florida
Investment related: N
Address of business:
Orlando, Florida 32839
Nature of business: Charitable Organization
Position, title, association: Advisory Board Member,
Start date of relationship: 1/21/2020
Number of hours devoted: 16 hour(s) Annually
Number of hours devoted during trading hours: 8
Duties: It is a charitable organization that provides job/life skills training to individuals and facilitates collaboration between individuals businesses and community organizations to place the trainees in jobs that will help them break the cycle of poverty
I*31730
For profit or not for profit: Non-Profit Organization
Name of outside business organization: Saint Margaret Mary Catholic Church
Investment related: N
Address of business:
Winter Park, Florida 32789
Nature of business: Other,Catholic Church
Position, title, association: ,
Start date of relationship: 6/1/2009
Number of hours devoted: 2 hour(s) Monthly
Number of hours devoted during trading hours: 0
Duties: Subcommittee Member Church
I*83913
For profit or not for profit: Non-Profit Organization
Name of outside business organization: Winter Park Health Foundation
Investment related: Y
Address of business:
Winter Park, Florida 32792
Nature of business: Charitable Organization,
Position, title, association: Advisory Board Member,
Start date of relationship: 8/13/2015
Number of hours devoted: 16 hour(s) Annually
Number of hours devoted during trading hours: 16
Duties: Entity distributes funds to community-based health initiatives to promote healthy living and reduce health issues.
CRS (Client Relationship Summary) - RIA
Click below to view Garrett M Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Garrett M Jones'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: 2015-08-06
Expire date: 2023-06-30
Experience
Current
February 17, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 271 West Canton Ave., Suite 100, Winter Park, FL 32789RIA
BD
CRD#: 291361
Winter Park, FL
Current
February 17, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 271 West Canton Ave., Suite 100, Winter Park, FL 32789RIA
BD
CRD#: 291361
Winter Park, FL
Past
November 14, 2001 - February 21, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WINTER PARK, FL
Past
November 13, 2001 - February 21, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WINTER PARK, FL
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(2/17/2023)
RR
California(2/17/2023)
RR
Colorado(2/17/2023)
RR
Connecticut(2/17/2023)
RR
Florida(2/17/2023)
IAR
Florida(2/27/2023)
RR
Georgia(2/17/2023)
RR
Illinois(2/17/2023)
RR
Indiana(2/17/2023)
RR
Kansas(9/6/2023)
RR
Louisiana(2/17/2023)
RR
Maine(2/17/2023)
RR
Massachusetts(2/17/2023)
RR
Michigan(2/17/2023)
RR
Minnesota(2/17/2023)
RR
Montana(8/5/2025)
RR
New Jersey(2/17/2023)
RR
New York(2/17/2023)
RR
North Carolina(2/17/2023)
RR
Ohio(2/17/2023)
RR
Oklahoma(2/17/2023)
RR
Pennsylvania(2/17/2023)
RR
Rhode Island(2/17/2023)
RR
South Carolina(2/17/2023)
RR
Tennessee(2/17/2023)
RR
Texas(2/17/2023)
IAR
Texas(2/17/2023)
RR
Utah(2/17/2023)
RR
Virginia(2/17/2023)
RR
Washington(2/17/2023)
RR
West Virginia(2/17/2023)
RR
Wisconsin(2/17/2023)
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
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
Managing Director - Wealth Management AdvisorCRD#: 291361Winter Park, FL 32789TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
