Tracey L. Johnston

ROCKEFELLER FINANCIAL LLC

NEW YORK, NY 10111

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CRD#: 4768410

Professional summary

Tracey Lewis Johnston, who also goes by Tracey J Johnston, Tracey Johnston, Tracey J Lewis, is a registered financial professional currently at ROCKEFELLER FINANCIAL LLC located in New York, New York.

Tracey is registered as a RR (Registered Representative) and started their career in finance in 2004. Tracey has worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tracey J Johnston | Tracey Johnston | Tracey J Lewis

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tracey Lewis Johnston's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 15, 2024 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 45 Rockefeller Plaza 5th Floor, New York, NY 10111

RIA

CRD#: 291361

NEW YORK, NY

Past

July 11, 2023 - November 11, 2024

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

December 2, 2008 - June 10, 2010

LEBENTHAL & CO., LLC

CRD#: 145750

NEW YORK, NY

Past

September 27, 2005 - June 5, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 25, 2004 - August 31, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

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)

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.

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

New York
(11/15/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/27/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/11/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/12/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/24/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (8.25.25) (8/25/2025)

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (8.25.25) (8/25/2025)

Direct owners and executive officers

Name	Position	CRD#
RFS OPCO LLC ("OPCO")	MEMBER
ALEXANDER, MARK DAVID	PRINCIPAL OPERATIONS OFFICER	2202934
DUPUY, CHRISTOPHER TREVOR	PRESIDENT & CEO	1749982
KOWALSKI, DEIRDRE PATTEN	PRINCIPAL FINANCIAL OFFICER	1357509
MIRZA, RIZWAN MOHAMMAD	CCO	5080469
YANNOTTA, WILLIAM MICHAEL	CHIEF FINANCIAL OFFICER	5912733

Regulatory assets under management

Total Number of Accounts	76,628
AUM (Assets Under Management)	$ 70,030,224,514

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
08/26/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

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Firm Stability Insights

Tracey L. Johnston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tracey Lewis Johnston's CRS (Customer Relationship Summary).

Certified licenses

Experience

JEFFERIES LLC

LEBENTHAL & CO., LLC

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/2022

Series 7TO

Date: 7/11/2023

SIE

Date: 8/12/2022

Series 7

Date: 3/24/2004

FINRA

Current Firm

ROCKEFELLER FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROCKEFELLER FINANCIAL LLC

TRUST BUT VERIFY

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