JB
John A. Bazan
ROCKEFELLER CAPITAL MANAGEMENT | Senior Financial Advisor
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 4779578
JB
Professional summary
John A Bazan, who also goes by John A. Bazan, John Anthony Bazan, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Dallas, Texas and ROCKEFELLER FINANCIAL LLC located in Dallas, Texas.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. John has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
What are your service offerings?
Financial planning
Executive services/Equity comp...
Trust & estate planning
Trading individual securities
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
250K
Are you a "fiduciary"?
Yes
Aliases
John A. Bazan | John Anthony Bazan
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.
CRS (Client Relationship Summary) - RIA
Click below to view John A Bazan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John A Bazan'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
March 28, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 300 Crescent Court, Suite 1450, Dallas, TX 75201RIA
CRD#: 294197
Dallas, TX
Current
March 28, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 Crescent Court Suite 1450, Dallas, TX 75201RIA
BD
CRD#: 291361
Dallas, TX
Current
March 28, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 Crescent Court Suite 1450, Dallas, TX 75201RIA
BD
CRD#: 291361
Dallas, TX
Past
February 11, 2011 - March 31, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DALLAS, TX
Past
January 1, 2011 - March 31, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DALLAS, TX
Past
June 28, 2004 - June 13, 2007
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WESTLAKE, TX
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(3/28/2025)
RR
Arizona(3/28/2025)
RR
Arkansas(3/28/2025)
RR
California(3/28/2025)
RR
Colorado(3/28/2025)
RR
Connecticut(3/28/2025)
RR
District of Columbia(3/28/2025)
RR
Florida(3/28/2025)
RR
Georgia(3/28/2025)
RR
Illinois(3/28/2025)
RR
Kansas(3/28/2025)
RR
Louisiana(3/28/2025)
RR
Massachusetts(3/28/2025)
RR
Michigan(10/31/2025)
RR
Missouri(3/28/2025)
RR
Montana(3/28/2025)
RR
Nevada(3/28/2025)
RR
New Mexico(3/28/2025)
RR
New York(3/28/2025)
RR
North Carolina(3/28/2025)
RR
Ohio(3/28/2025)
RR
Oklahoma(3/28/2025)
RR
Oregon(3/28/2025)
RR
Pennsylvania(3/28/2025)
RR
South Carolina(3/28/2025)
RR
Tennessee(3/28/2025)
RR
Texas(3/28/2025)
IAR
Texas(3/28/2025)
RR
Virginia(3/28/2025)
RR
Wyoming(4/22/2025)
Exams
State Security Law Exam
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.
Company Information
ROCKEFELLER FINANCIAL LLC
Senior Financial AdvisorCRD#: 291361Dallas, TX 75201TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
