John L. Lynch
ROCKEFELLER CAPITAL MANAGEMENT | Senior Vice President–Wealth Management
PONTE VEDRA BEACH, FL
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CRD#: 5216245
Professional summary
John L Lynch, CFP®, who also goes by John L Lynch, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Ponte Vedra Beach, Florida and ROCKEFELLER FINANCIAL LLC located in Ponte Vedra Beach, Florida.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. John has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Investment Planning
Comprehensive Financial Planni...
Insurance Planning
Employee and Employer Plan Ben...
Retirement Planning
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
John L Lynch
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.
NAME OF ENTITY: (SELF)
POSITION: OWNER / LANDLORD - RENTAL PROPERTY
DETAILS 90 BRONXVILLE NY.
START DATE 11/3/14, TERM INDEFINITE, 1 HOUR PER MONTH DEVOTED TO POSITION, 1 HOUR PER MONTH DEVOTED DURING SECURITIES TRADING, NON-INVESTMENT RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view John L Lynch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John L Lynch'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: 2016
Experience
Current
June 18, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
RIA
CRD#: 294197
PONTE VEDRA BEACH, FL
Current
June 18, 2025 - Present
ROCKEFELLER FINANCIAL LLC
RIA
BD
CRD#: 291361
PONTE VEDRA BEACH, FL
Current
June 18, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Past
March 11, 2016 - June 27, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
March 11, 2016 - June 27, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
October 1, 2012 - March 23, 2016
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
WHITE PLAINS, NY
Past
October 1, 2012 - March 23, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
WHITE PLAINS, NY
Past
April 26, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
WHITE PLAINS, NY
Past
April 26, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
WHITE PLAINS, NY
Past
April 5, 2007 - October 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
March 12, 2007 - October 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(6/27/2025)
RR
California(6/18/2025)
RR
Connecticut(6/18/2025)
RR
Florida(6/18/2025)
IAR
Florida(7/7/2025)
RR
Georgia(6/18/2025)
RR
Missouri(6/18/2025)
RR
Nevada(6/18/2025)
RR
New Jersey(6/18/2025)
RR
New York(6/18/2025)
IAR
New York(6/18/2025)
RR
North Carolina(6/18/2025)
RR
Ohio(6/18/2025)
RR
Pennsylvania(6/18/2025)
RR
Texas(6/18/2025)
IAR
Texas(6/18/2025)
RR
Virginia(6/18/2025)
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
Senior Vice President–Wealth ManagementCRD#: 291361Ponte Vedra Beach, FLTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
