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LB

Lance O. Burks

ROCKEFELLER FINANCIAL LLC
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 5725053
LB

Professional summary

Lance Owen Burks is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Los Angeles, California and ROCKEFELLER CAPITAL MANAGEMENT located in Los Angeles, California.

Lance is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Lance has worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 24 and Series 4 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lance Owen Burks's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Lance Owen Burks's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 11, 2022 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 2000 Avenue Of The Stars Suite 530 N, Los Angeles, CA 90067
RIA
BD
CRD#: 291361
Los Angeles, CA
Current

August 7, 2024 - Present

ROCKEFELLER CAPITAL MANAGEMENT

Office #1: 2000 Avenue Of The Stars, Suite 530 N, Los Angeles, CA 90067
RIA
CRD#: 294197
Los Angeles, CA
Current

April 8, 2022 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 2000 Avenue Of The Stars Suite 530 N, Los Angeles, CA 90067
RIA
BD
CRD#: 291361
Los Angeles, CA
Past

March 10, 2020 - March 31, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PASADENA, CA
Past

February 7, 2020 - March 31, 2022

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PASADENA, CA
Past

February 6, 2014 - January 27, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PASADENA, CA
Past

February 6, 2014 - January 27, 2020

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PASADENA, CA
Past

September 13, 2012 - January 24, 2014

ALLY INVEST SECURITIES LLC

BD
CRD#: 136131
CHARLOTTE, NC
Past

September 9, 2010 - December 20, 2012

ZECCO TRADING, INC.

BD
CRD#: 135398
GLENDALE, CA
Past

December 7, 2009 - September 15, 2010

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
PASADENA, CA
Past

November 23, 2009 - September 15, 2010

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
PASADENA, 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
California
(4/8/2022)
IAR
California
(4/11/2022)
IAR
Texas
(8/8/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/5/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/22/2017
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/5/2016
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/12/2013
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/17/2013
Registered Options Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (8.25.25) (8/25/2025)
ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (8.25.25) (8/25/2025)

Direct owners and executive officers

NamePositionCRD#
RFS OPCO LLC ("OPCO")MEMBER
ALEXANDER, MARK DAVIDPRINCIPAL OPERATIONS OFFICER2202934
DUPUY, CHRISTOPHER TREVORPRESIDENT & CEO1749982
KOWALSKI, DEIRDRE PATTENPRINCIPAL FINANCIAL OFFICER1357509
MIRZA, RIZWAN MOHAMMADCCO5080469
YANNOTTA, WILLIAM MICHAELCHIEF FINANCIAL OFFICER5912733

Regulatory assets under management

Total Number of Accounts76,628
AUM (Assets Under Management)$ 70,030,224,514

Disclosures

Regulatory Event1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/24/2025
Cover Page
Report
08/26/2024
Cover Page
Report
09/27/2023
Cover Page
Report

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

CRD#: 291361Los Angeles, CA 90067

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