JA
Jeffrey S. Anderson
ROCKEFELLER FINANCIAL LLC
Bainbridge Island, WA
Some features on this profile are disabled
CRD#: 4848318
JA
Professional summary
Jeffrey Scott Anderson, CFP®, who also goes by Jeff Scott Anderson, Jeffrey S Anderson, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Bainbridge Island, Washington.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Jeffrey has worked at 3 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Scott Anderson | Jeffrey S Anderson
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.
Island Church / United States / 9624 Sportsmans Club Road NE / Bainbridge Island / WA / United States / 98110 / / No / Charity / / Charity / / Church / Active / Other / Help report on the operating budget of the church for an interim period of 1 year while the Treasurer is out of country with family / Keep track of inflow, expenses, and operating budget of Island Church / 7 / No / No / No / No / Start Date 03/01/2018 / / No / / No / / No / No No / Bainbridge Island, WA, USA / No / / No / / community service / No /
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Scott Anderson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Scott Anderson'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
April 1, 2021 - Present
ROCKEFELLER FINANCIAL LLC
RIA
BD
CRD#: 291361
Bainbridge Island, WA
Current
April 1, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 Crescent Court Suite 1450, Dallas, TX 75201RIA
BD
CRD#: 291361
Dallas, TX
Past
July 13, 2007 - April 12, 2021
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SEATTLE, WA
Past
July 13, 2007 - April 12, 2021
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SEATTLE, WA
Past
November 25, 2004 - July 17, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN ANTONIO, TX
Past
November 1, 2004 - July 17, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN ANTONIO, 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(5/5/2023)
RR
Arizona(4/1/2021)
RR
California(4/1/2021)
RR
Florida(4/1/2021)
RR
Georgia(4/1/2021)
RR
Hawaii(12/18/2024)
RR
Louisiana(4/1/2021)
RR
Maryland(5/10/2021)
RR
Massachusetts(4/1/2021)
RR
Michigan(4/1/2021)
RR
North Carolina(4/1/2021)
RR
Ohio(5/28/2021)
RR
South Carolina(4/1/2021)
RR
Tennessee(4/1/2021)
RR
Texas(4/1/2021)
IAR
Texas(4/1/2021)
RR
Virginia(4/1/2021)
RR
Washington(4/1/2021)
IAR
Washington(4/1/2021)
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.
