Paul J. Leach
ROCKEFELLER FINANCIAL LLC | Financial Advisor
Torrance, CA
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CRD#: 4952675
Professional summary
Paul Joseph Leach, CFP® is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Torrance, California.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Paul has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Financial planning
Insurance
Institutional consulting
Trust & estate planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
None
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.
Surf 4 Kidz - Founder. Surf 4 Kidz is a charity surf camp founded in 2008. 100% of the proceeds go to a local 501(c)3 organization that teaches and certifies at-risk military veterans how to weld and has a job placement program upon completion. Surf 4 Kidz is not investment-related. The approximate number of hours devoted to Surf 4 Kidz is about 40 hours per year and no hours are spent during securities trading hours. 5455 Linda Drive, Torrance, CA 90505 J46 Properties LLC - Member. Real estate investment. December 2022. Two hours per month devoted to J46 Properties LLC with no hours devoted during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Joseph Leach's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Joseph Leach'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®
CFP®
Start date: 2012
Experience
Current
February 17, 2023 - Present
ROCKEFELLER FINANCIAL LLC
RIA
BD
CRD#: 291361
Torrance, CA
Current
February 17, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: Two Embarcadero Center Suite 2320, San Francisco, CA 94111RIA
BD
CRD#: 291361
San Francisco, CA
Past
January 8, 2009 - February 22, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
EL SEGUNDO, CA
Past
January 8, 2009 - February 22, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
EL SEGUNDO, CA
Past
December 18, 2007 - January 23, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ROLLING HILLS, CA
Past
October 31, 2007 - January 23, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ROLLING HILLS, CA
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
Arizona(2/17/2023)
RR
California(2/17/2023)
IAR
California(2/17/2023)
RR
Florida(2/17/2023)
RR
Georgia(2/17/2023)
RR
Hawaii(2/17/2023)
RR
Indiana(2/17/2023)
RR
Kentucky(2/17/2023)
RR
Louisiana(2/17/2023)
RR
Maine(2/17/2023)
RR
Maryland(2/17/2023)
RR
Massachusetts(2/17/2023)
RR
Minnesota(2/17/2023)
RR
New York(2/17/2023)
RR
Texas(2/17/2023)
IAR
Texas(2/17/2023)
RR
Washington(2/17/2023)
Exams
State Security Law 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.
Company Information
ROCKEFELLER FINANCIAL LLC
Financial AdvisorCRD#: 291361Torrance, CATRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
