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TF

Trisha L. Fountain

ROCKEFELLER FINANCIAL LLC
Lafollette, TN
Some features on this profile are disabled
CRD#: 4928764
TF

Professional summary

Trisha Lynn Fountain, who also goes by Trish Fountain, Trisha Lynn Hansman, Trish Hansman, Trisha Lynn Mccabe, Trish Mccabe, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Lafollette, Tennessee.

Trisha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Trisha has worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 9, Series 10 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Trish Fountain | Trisha Lynn Hansman | Trish Hansman | Trisha Lynn Mccabe | Trish Mccabe

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.
KENNETH FOUNTAIN DBA MABK ENTERPRISES - 2697 HILLTOP CT., FLORENCE, KY 41042 - FOOD VENDOR - FAMILY BUSINESS SELLING FUNNEL CAKES AT PRE-PLANNED EVENTS THROUGHOUT THE SPRING/SUMMER/FALL SEASONS - since 01/2014- WE HAVE 5 OR 6 EVENTS ON WEEKENDS.- NO BUSINESS ACTIVITIES DURING TRADING HOURS -I WORK THE WINDOW SELLING, MAKE THE FUNNEL CAKES, MIX FUNNEL CAKE BATTER, CLEAN THE TRAILER. As of Sept 2021 we are down to one event always occurs first weekend in Oct. Purchased travel agent franchise through Dream Vacations in 2019 but have not booked any vacations, meant to be part time and just for fun.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Trisha Lynn Fountain's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Trisha Lynn Fountain'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

September 10, 2021 - Present

ROCKEFELLER FINANCIAL LLC

RIA
BD
CRD#: 291361
Lafollette, TN
Current

September 10, 2021 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 222 West Adams Suite 2450, Chicago, IL 60606
RIA
BD
CRD#: 291361
Chicago, IL
Past

April 17, 2014 - September 21, 2021

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CINCINNATI, OH
Past

April 14, 2014 - September 21, 2021

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CINCINNATI, OH
Past

June 5, 2012 - February 4, 2013

CAPITAL ANALYSTS

RIA
CRD#: 162200
CINCINNATI, OH
Past

June 1, 2012 - January 28, 2013

LINCOLN INVESTMENT

RIA
CRD#: 519
CINCINNATI, OH
Past

June 1, 2012 - January 28, 2013

LINCOLN INVESTMENT

BD
CRD#: 519
CINCINNATI, OH
Past

September 10, 2007 - June 1, 2012

CINCINNATI ANALYSTS, INC.

RIA
CRD#: 5478
CINCINNATI, OH
Past

September 7, 2007 - June 1, 2012

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478
CINCINNATI, OH
Past

October 2, 2006 - August 9, 2007

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
CINCINNATI, OH
Past

September 30, 2006 - August 9, 2007

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CINCINNATI, OH
Past

October 26, 2005 - September 19, 2006

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
CINCINNATI, OH
Past

October 24, 2005 - September 19, 2006

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
CINCINNATI, OH
Past

August 12, 2005 - October 14, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
CINCINNATI, OH
Past

August 12, 2005 - October 14, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 12, 2005 - October 14, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
Kentucky
(9/7/2022)
IAR
Kentucky
(9/9/2022)
RR
New Jersey
(9/10/2021)
RR
Ohio
(9/10/2021)
IAR
Ohio
(9/10/2021)
RR
Tennessee
(9/7/2022)
IAR
Tennessee
(11/10/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/14/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/11/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/14/2014
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/18/2014
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/2/2008
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
RFS OPCO LLC ("OPCO")MEMBER
ALEXANDER, MARK DAVIDPRINCIPAL OPERATIONS OFFICER2202934
DUPUY, CHRISTOPHER TREVORPRESIDENT & CEO1749982
KOWALSKI, DEIRDRE PATTENPRINCIPAL FINANCIAL OFFICER1357509
MIRZA, RIZWAN MOHAMMADCCO5080469
YANNOTTA, WILLIAM MICHAELCHIEF FINANCIAL OFFICER5912733

Regulatory assets under management

Total Number of Accounts76,628
AUM (Assets Under Management)$ 70,030,224,514

Disclosures

Regulatory Event1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

ROCKEFELLER FINANCIAL LLC

CRD#: 291361Lafollette, TN

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