Richard L. Schmock
ROCKEFELLER FINANCIAL LLC | Senior Vice President, Private Wealth Advisor
Brentwood, TN 37027
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CRD#: 5082498
Professional summary
Richard Lawrence Schmock, who also goes by Richard L Schmock, Richie Schmock, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Brentwood, Tennessee and ROCKEFELLER CAPITAL MANAGEMENT located in Brentwood, Tennessee.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
What are your service offerings?
Loans/credit services
Executive services/Equity comp...
Financial planning
Trust & estate planning
Insurance
Philanthropic services
Trading individual securities
Retirement planning
What is your current number of clients?
Under 50
What is your minimum asset requirement?
10M
Are you a "fiduciary"?
Yes
Aliases
Richard L Schmock | Richie Schmock
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.
RENTAL PROPERTY; OWNER; MOMMAKNEE LLC; MY WIFE WILL HANDLE THE DAY TO DAY MANAGEMENT OF RENTAL INCOME AND FINDING CONTRACTORS TO REPAIR ISSUES THAT ARISE WITH THE HOME; PHOENIX, AZ; 0.5 AFTER BUSINESS HOURS; 0 DURING BUSINESS; 08/2013
CRS (Client Relationship Summary) - RIA
Click below to view Richard Lawrence Schmock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Lawrence Schmock'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
August 21, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 320 Seven Springs Way Suite 15, Brentwood, TN 37027RIA
BD
CRD#: 291361
Brentwood, TN
Current
February 22, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 320 Seven Springs Way Ste 250, Brentwood, TN 37027RIA
CRD#: 294197
Brentwood, TN
Current
August 21, 2020 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 320 Seven Springs Way Suite 15, Brentwood, TN 37027RIA
BD
CRD#: 291361
Brentwood, TN
Past
April 23, 2013 - August 26, 2020
MORGAN STANLEY
RIA
CRD#: 149777
SCOTTSDALE, AZ
Past
April 5, 2013 - August 26, 2020
MORGAN STANLEY
BD
CRD#: 149777
SCOTTSDALE, AZ
Past
March 16, 2006 - April 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SCOTTSDALE, AZ
Past
February 28, 2006 - April 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SCOTTSDALE, AZ
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(8/21/2020)
IAR
Arizona(10/8/2020)
RR
Arkansas(8/21/2020)
RR
California(8/21/2020)
RR
Colorado(8/21/2020)
RR
Connecticut(8/21/2020)
RR
Delaware(8/21/2020)
RR
District of Columbia(8/21/2020)
RR
Florida(8/21/2020)
RR
Georgia(8/21/2020)
RR
Illinois(8/21/2020)
RR
Indiana(8/21/2020)
RR
Kansas(8/21/2020)
RR
Massachusetts(8/21/2020)
RR
Michigan(8/21/2020)
RR
Missouri(1/22/2021)
RR
Nevada(8/21/2020)
RR
New Hampshire(8/21/2020)
RR
New Jersey(8/21/2020)
RR
New Mexico(8/21/2020)
RR
New York(8/21/2020)
RR
North Carolina(1/22/2021)
RR
Ohio(8/21/2020)
RR
Oregon(8/21/2020)
RR
Pennsylvania(8/21/2020)
RR
South Carolina(8/21/2020)
RR
Tennessee(8/21/2020)
IAR
Tennessee(6/1/2023)
RR
Texas(8/21/2020)
IAR
Texas(8/21/2020)
RR
Vermont(8/21/2020)
RR
Virginia(8/21/2020)
RR
Washington(8/21/2020)
Exams
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 Vice President, Private Wealth AdvisorCRD#: 291361Brentwood, TN 37027TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
