MS
Michael E. Shelley
ROCKEFELLER FINANCIAL LLC
OKLAHOMA CITY, OK
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CRD#: 5380648
MS
Professional summary
Michael Edwin Shelley is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Oklahoma City, Oklahoma.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 3 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 53 exams.
Question & Answer
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.
*323246 - S Investments, LLC; Investment related Yes; Oklahoma City, OK; Real Estate, Oil/Energy; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); June 2017; During business hours: 0; After business hours: 1. This LLC was established/setup for investment purposes to personally invest in Oil and Gas / Real Estate opportunities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Edwin Shelley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Edwin Shelley'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
September 9, 2022 - Present
ROCKEFELLER FINANCIAL LLC
RIA
BD
CRD#: 291361
OKLAHOMA CITY, OK
Current
September 9, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 Crescent Court Suite 1450, Dallas, TX 75201RIA
BD
CRD#: 291361
Dallas, TX
Past
May 27, 2010 - September 14, 2022
MORGAN STANLEY
RIA
CRD#: 149777
Oklahoma City, OK
Past
May 27, 2010 - September 14, 2022
MORGAN STANLEY
BD
CRD#: 149777
Oklahoma City, OK
Past
August 21, 2008 - May 4, 2010
GEARY SECURITIES, INC.
RIA
CRD#: 38182
OKLAHOMA CITY, OK
Past
September 27, 2007 - May 4, 2010
GEARY SECURITIES, INC.
BD
CRD#: 38182
OKLAHOMA CITY, OK
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
Colorado(9/9/2022)
RR
Kansas(12/26/2023)
RR
Maryland(9/9/2022)
RR
Massachusetts(1/24/2024)
RR
Nevada(9/9/2022)
RR
New York(9/9/2022)
RR
North Carolina(9/9/2022)
RR
Ohio(9/9/2022)
RR
Oklahoma(9/9/2022)
IAR
Oklahoma(9/9/2022)
RR
Texas(9/9/2022)
IAR
Texas(9/9/2022)
RR
Utah(8/6/2024)
RR
Vermont(10/25/2022)
RR
Washington(9/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
