LB
Latoya Bagwell
ROCKEFELLER FINANCIAL LLC
BURLINGTON, NJ
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CRD#: 5593734
LB
Professional summary
Latoya Bagwell is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Burlington, New Jersey and ROCKEFELLER CAPITAL MANAGEMENT located in Hamilton, New Jersey.
Latoya is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Latoya has worked at 6 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 10, Series 9 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Latoya Bagwell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Latoya Bagwell'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
March 5, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #2: 2445 Kuser Road, Suite 302 Zone C , Hamilton, NJ 07724RIA
BD
CRD#: 291361
BURLINGTON, NJ
Current
August 9, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 2445 Kuser Road, Suite 302 Zone A, Hamilton, NJ 08690RIA
CRD#: 294197
HAMILTON, NJ
Current
March 5, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2445 Kuser Road, Suite 302 Zone C , Hamilton, NJ 07724RIA
BD
CRD#: 291361
HAMILTON, NJ
Past
September 27, 2023 - March 8, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Blue Bell, PA
Past
September 27, 2023 - March 8, 2024
MORGAN STANLEY
BD
CRD#: 149777
Blue Bell, PA
Past
January 26, 2021 - September 28, 2023
ROCKEFELLER FINANCIAL LLC
RIA
CRD#: 291361
HAMILTON, NJ
Past
February 4, 2019 - September 28, 2023
ROCKEFELLER FINANCIAL LLC
BD
CRD#: 291361
Hamilton Township, NJ
Past
August 25, 2017 - January 23, 2019
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ISELIN, NJ
Past
August 24, 2017 - January 23, 2019
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ISELIN, NJ
Past
August 10, 2016 - August 7, 2017
TD AMERITRADE, INC.
RIA
CRD#: 7870
Jersey City, NJ
Past
August 8, 2016 - August 7, 2017
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
April 7, 2016 - July 11, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PENNINGTON, NJ
Past
January 19, 2016 - July 11, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PENNINGTON, NJ
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(3/6/2024)
RR
Alaska(3/6/2024)
RR
Arizona(3/6/2024)
RR
Arkansas(3/6/2024)
RR
California(3/6/2024)
RR
Colorado(3/6/2024)
RR
Connecticut(3/6/2024)
RR
Delaware(3/6/2024)
RR
District of Columbia(3/6/2024)
RR
Florida(3/6/2024)
RR
Georgia(3/6/2024)
RR
Hawaii(3/6/2024)
RR
Idaho(3/6/2024)
RR
Illinois(3/6/2024)
RR
Indiana(3/6/2024)
RR
Iowa(3/6/2024)
RR
Kansas(3/6/2024)
RR
Kentucky(3/6/2024)
RR
Louisiana(3/6/2024)
RR
Maine(3/6/2024)
RR
Maryland(3/6/2024)
RR
Massachusetts(3/6/2024)
RR
Michigan(3/6/2024)
RR
Minnesota(3/6/2024)
RR
Mississippi(3/6/2024)
RR
Missouri(3/6/2024)
RR
Montana(3/7/2024)
RR
Nebraska(3/6/2024)
RR
Nevada(3/6/2024)
RR
New Hampshire(3/6/2024)
RR
New Jersey(3/6/2024)
IAR
New Jersey(8/8/2025)
RR
New Mexico(3/6/2024)
RR
New York(3/5/2024)
IAR
New York(3/5/2024)
RR
North Carolina(3/6/2024)
RR
North Dakota(3/6/2024)
RR
Ohio(3/6/2024)
RR
Oklahoma(3/6/2024)
RR
Oregon(3/6/2024)
RR
Pennsylvania(3/6/2024)
RR
Puerto Rico(3/6/2024)
RR
Rhode Island(3/6/2024)
RR
South Carolina(3/6/2024)
RR
South Dakota(3/6/2024)
RR
Tennessee(3/6/2024)
RR
Texas(3/5/2024)
IAR
Texas(3/5/2024)
IAR
Texas(8/9/2024)
RR
Utah(3/6/2024)
RR
Vermont(3/6/2024)
RR
Virgin Islands(3/6/2024)
RR
Virginia(3/6/2024)
RR
Washington(3/6/2024)
RR
West Virginia(3/6/2024)
RR
Wisconsin(3/6/2024)
RR
Wyoming(3/6/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 7/19/2021
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
| Name | Position | CRD# |
|---|---|---|
| RFS OPCO LLC ("OPCO") | MEMBER | |
| ALEXANDER, MARK DAVID | PRINCIPAL OPERATIONS OFFICER | 2202934 |
| KOWALSKI, DEIRDRE PATTEN | PRINCIPAL FINANCIAL OFFICER | 1357509 |
| MIRZA, RIZWAN MOHAMMAD | CHIEF COMPLIANCE OFFICER | 5080469 |
| MORIARTY, EDMOND NICHOLAS | CO-CHIEF EXECUTIVE OFFICER | 1744318 |
| OUTLAW, MICHAEL WAYNE | CO-CHIEF EXECUTIVE OFFICER | 2760690 |
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.
