CV
Charles M. Vetters
ROCKEFELLER CAPITAL MANAGEMENT
Houston, TX 77027
Some features on this profile are disabled
CRD#: 4828088
CV
Professional summary
Charles Monroe Vetters JR, CFP®, who also goes by Charles M Vetters Jr, Charles Monroe Vetters Jr Jr, Charles Monroe Vetters Jr. Jr, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Houston, Texas and ROCKEFELLER FINANCIAL LLC located in Houston, Texas.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Charles has worked at 5 firms and has passed the Series 66, SIE, Series 3, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles M Vetters Jr | Charles Monroe Vetters Jr Jr | Charles Monroe Vetters Jr. Jr
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.
AGGIE FINANCIAL PARTNERS LLC, OWNER; HOLDS OWNER OF FENWOOD FINANCIAL PARTNERS LLC; START DATE: 01/2016; DURING BUSINESS HOURS- 0, AFTER BUSINESS HOURS- 1; INVESTMENT RELATED; HOUSTON, TX *585490 - Lending; Investment related-Yes; Bellaire, Texas; Car Loan; Lender (proprietor, partner, officer, director, employee, trustee, agent); 08/2023; During business hours: 0; After business hours: 0; Lender *585488 - Eric Watts - source of repayment when working ; Investment related - Yes ; Lake Jackson,Texas ; Car Loan ; Family Member(proprietor, partner, officer, director, employee, trustee, agent) ; 3/2023 ; During business hours : 0 ; After business hours : 0 ; Lender *43622- Fenwood Financial Partners LLC(FA's investments); Investment related: Yes; Bellaire, Texas; Oil/Energy; Partner (proprietor, partner, officer, director, employee, trustee, agent); 03/2024; During business hours: 0; After business hours: 0; Investment Decisions/Advice
CRS (Client Relationship Summary) - RIA
Click below to view Charles Monroe Vetters JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Monroe Vetters JR'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
January 17, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 1600 West Loop South, Suite 700, Houston, TX 77027RIA
CRD#: 294197
Houston, TX
Current
January 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1600 West Loop South, Suite 700, Houston, TX 77027RIA
BD
CRD#: 291361
Houston, TX
Current
January 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1600 West Loop South, Suite 700, Houston, TX 77027RIA
BD
CRD#: 291361
Houston, TX
Past
June 1, 2009 - January 30, 2025
MORGAN STANLEY
RIA
CRD#: 149777
Houston, TX
Past
June 1, 2009 - January 30, 2025
MORGAN STANLEY
BD
CRD#: 149777
Houston, TX
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
HOUSTON, TX
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
HOUSTON, TX
Past
October 25, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
HOUSTON, TX
Past
August 25, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
HOUSTON, 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
California(1/17/2025)
RR
Colorado(1/17/2025)
RR
Illinois(1/17/2025)
RR
Indiana(1/17/2025)
RR
Kansas(1/17/2025)
RR
Michigan(1/17/2025)
RR
New Jersey(1/17/2025)
RR
North Carolina(1/17/2025)
RR
Oklahoma(1/17/2025)
RR
Texas(1/17/2025)
IAR
Texas(1/17/2025)
Exams
State Security Law Exam
General Industry/Product 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.
