NS
Nicole A. Schafer
ROCKEFELLER FINANCIAL LLC
Coeur d'Alene, ID
Some features on this profile are disabled
CRD#: 4751527
NS
Professional summary
Nicole Annette-palmiter Schafer, CFP®, who also goes by Nicole Annette Palmiter, Nicole Annette Schafer, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Coeur D'alene, Idaho.
Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Nicole has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicole Annette Palmiter | Nicole Annette Schafer
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.
BAYVIEW FOUNDATION; NOT INVESTMENT RELATED; SEATTLE/WA; CHARITY; TITLE: BOARD MEMBER; START DATE: 6/2019; DURING BUSINESS HOURS - 1; AFTER BUSINESS HOURS - 1. *350367 - Rental Property; Investment related Yes; Coeur d'Alene, ID; Rental Property; Joint Owner (proprietor, partner, officer, director, employee, trustee, agent); Oct 2018; During business hours: 0; After business hours: 1 *408992- The Blue Shell, LLC; Investment related Yes; Coeur d'Alene, Idaho; Restaurant/Bar/Nightclub; Other (proprietor, partner, officer, director, employee, trustee, agent); 09/2020; During business hours: 2; After business hours: 10; Accounting/Bookkeeping, Business Development/Growth, Check Signing/Funds Disbursements *408996 - TBD LLC; Investment related Yes; Coeur d'Alene, Idaho; Real Estate; Partner (proprietor, partner, officer, director, employee, trustee, agent); September 2020; During business hours: 0; After business hours: 2; Administrative Putnam Advisory Council, 100 Federal St., Boston MA 02110; Non-Investment Related; The advisory council is a council of Financial Advisors that Putnam has put together to give them feedback; Council Member; 03/01/2022; 1 hour per month; Participate in meetings and discussions, offer feedback to Putnam leadership on product and educational offerings in light of our experience working directly with clients. Meet 4 times a year. Bill Dill Properties LLC, 1903 E Sherman Ave., Coeur d'Alene, ID 83815. Investment related. LLC to hold a rental property. LLC Member/Manager since May 2023. Devotes one-hour per month and zero hours during trading hours. Duties include paying property taxes and insurance and collects rent.
CRS (Client Relationship Summary) - RIA
Click below to view Nicole Annette-palmiter Schafer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicole Annette-palmiter Schafer'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
May 20, 2022 - Present
ROCKEFELLER FINANCIAL LLC
RIA
BD
CRD#: 291361
Coeur d'Alene, ID
Current
May 20, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: Two Embarcadero Center Suite 2320, San Francisco, CA 94111RIA
BD
CRD#: 291361
San Francisco, CA
Past
June 1, 2009 - June 2, 2022
MORGAN STANLEY
RIA
CRD#: 149777
Coeur D'Alene, ID
Past
June 1, 2009 - June 2, 2022
MORGAN STANLEY
BD
CRD#: 149777
Coeur D'Alene, ID
Past
May 7, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SEATTLE, WA
Past
May 7, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SEATTLE, WA
Past
August 12, 2006 - April 23, 2007
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SEATTLE, WA
Past
August 12, 2006 - April 23, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SEATTLE, WA
Past
July 18, 2006 - August 12, 2006
PIPER SANDLER & CO.
RIA
CRD#: 665
SEATTLE, WA
Past
April 25, 2006 - August 12, 2006
PIPER SANDLER & CO.
BD
CRD#: 665
SEATTLE, WA
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
Alaska(5/20/2022)
RR
Arizona(5/20/2022)
RR
California(5/20/2022)
RR
Colorado(5/20/2022)
RR
District of Columbia(5/20/2022)
RR
Florida(5/20/2022)
RR
Georgia(5/20/2022)
RR
Hawaii(5/20/2022)
RR
Idaho(5/20/2022)
IAR
Idaho(5/24/2022)
RR
Illinois(5/20/2022)
RR
Iowa(11/13/2024)
RR
Maryland(5/20/2022)
RR
Michigan(5/20/2022)
RR
Montana(5/20/2022)
RR
Nevada(5/20/2022)
RR
New Jersey(5/20/2022)
RR
New Mexico(5/16/2023)
RR
New York(5/20/2022)
RR
North Carolina(5/20/2022)
RR
Ohio(5/20/2022)
RR
Oregon(5/20/2022)
RR
Pennsylvania(5/20/2022)
RR
South Carolina(5/20/2022)
RR
Tennessee(8/22/2023)
RR
Texas(5/20/2022)
IAR
Texas(5/20/2022)
RR
Utah(5/20/2022)
RR
Vermont(5/20/2022)
RR
Virginia(5/20/2022)
RR
Washington(5/20/2022)
IAR
Washington(5/20/2022)
RR
Wisconsin(5/20/2022)
RR
Wyoming(5/20/2022)
Exams
State Security Law 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)
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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.
