CH
Charles W. Hartford
ROCKEFELLER FINANCIAL LLC
San Diego, CA 92130
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CRD#: 5707853
CH
Professional summary
Charles Wesley Hartford, who also goes by Charles W Hartford, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in San Diego, California and ROCKEFELLER CAPITAL MANAGEMENT located in San Diego, California.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Charles has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles W Hartford
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.
I*40636 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SAN DIEGO POLICE FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN DIEGO, CALIFORNIA 92122 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 5/2/2011 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MEMBER OF THE BOARD OF DIRECTORS; CHAIR OF THE GRANTS COMMITTEE I*359056 For profit or not for profit: Entity Charitable Name of outside business organization: St. Paul's Lutheran Church Investment related: N Address of business: San Diego, California, 92109 Nature of business: ["Church or Religious Organization"] Position, title, association: ["Officer"], Start date of relationship: 7/1/2021 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Church congregation President. Preside over the church's board of directors, oversee board related activities to support the St. Paul's Lutheran Church's mission.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Wesley Hartford's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Wesley Hartford'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
February 25, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3721 Valley Centre Drive, San Diego, CA 92130RIA
BD
CRD#: 291361
San Diego, CA
Current
February 21, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 3721 Valley Centre Drive, San Diego, CA 92130RIA
CRD#: 294197
San Diego, CA
Current
February 25, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3721 Valley Centre Drive, San Diego, CA 92130RIA
BD
CRD#: 291361
San Diego, CA
Past
November 10, 2009 - February 28, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LA JOLLA, CA
Past
October 19, 2009 - February 28, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LA JOLLA, 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(2/25/2022)
RR
California(2/25/2022)
IAR
California(2/25/2022)
RR
Colorado(2/25/2022)
RR
Florida(2/25/2022)
RR
Georgia(2/25/2022)
RR
Idaho(2/25/2022)
RR
Indiana(8/21/2025)
RR
Maine(2/25/2022)
RR
Maryland(2/25/2022)
RR
Missouri(2/25/2022)
RR
Nevada(2/25/2022)
RR
New Hampshire(2/25/2022)
RR
New Jersey(2/25/2022)
RR
New Mexico(2/25/2022)
RR
New York(2/25/2022)
RR
Tennessee(2/25/2022)
RR
Texas(2/25/2022)
IAR
Texas(2/25/2022)
RR
Virginia(2/25/2022)
RR
Washington(2/25/2022)
RR
Wyoming(2/25/2022)
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.
