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Alison A. Devries
ROCKEFELLER FINANCIAL LLC
Grand Rapids, MI 49503
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CRD#: 5746196
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Professional summary
Alison Ann Devries, who also goes by Alison A Devries, Alison Devries, Alison A Lundvick, Alison Ann Lundvick, Alison Lundvick, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Grand Rapids, Michigan and ROCKEFELLER CAPITAL MANAGEMENT located in Grand Rapids, Michigan.
Alison is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Alison has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alison A Devries | Alison Devries | Alison A Lundvick | Alison Ann Lundvick | Alison Lundvick
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.
GEORGETOWN CHRISTIAN PRESCHOOL AND LEARNING CENTER POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/11/2021 ADDRESS: 6475 40th Avenue, Hudsonville MI 49426, United States DESCRIPTION: I was asked to serve as a board member of the Georgetown Christian Preschool and Learning Center starting November 11, 2021. Tasks are: become knowledgeable about the school programs and be willing to answer questions by members of the church and community, oversee the operations of the program and the work of the Administrative director, review licensing visit, nature playground and facilities, staff openings, enrollment.
CRS (Client Relationship Summary) - RIA
Click below to view Alison Ann Devries's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alison Ann Devries'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
June 26, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Ottawa Ave Sw, Suite 700, Grand Rapids, MI 49503RIA
BD
CRD#: 291361
Grand Rapids, MI
Current
August 7, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 45 Ottawa Ave Sw, Suite 700, Grand Rapids, MI 49503RIA
CRD#: 294197
Grand Rapids, MI
Current
June 26, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Ottawa Ave Sw, Suite 700, Grand Rapids, MI 49503RIA
BD
CRD#: 291361
Grand Rapids, MI
Past
September 12, 2019 - July 18, 2024
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Grand Rapids, MI
Past
March 22, 2011 - September 5, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PORTAGE, MI
Past
March 21, 2011 - September 5, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PORTAGE, MI
Past
February 23, 2011 - March 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GRAND RAPIDS, MI
Past
June 3, 2010 - March 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GRAND RAPIDS, MI
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(6/26/2024)
RR
Alaska(6/26/2024)
RR
Arizona(6/26/2024)
RR
Arkansas(6/26/2024)
RR
California(6/26/2024)
RR
Colorado(6/26/2024)
RR
Connecticut(6/26/2024)
RR
Delaware(6/26/2024)
RR
District of Columbia(6/26/2024)
RR
Florida(6/26/2024)
RR
Georgia(6/26/2024)
RR
Hawaii(6/26/2024)
RR
Idaho(6/26/2024)
RR
Illinois(6/26/2024)
RR
Indiana(6/26/2024)
RR
Iowa(6/26/2024)
RR
Kansas(6/26/2024)
RR
Kentucky(6/26/2024)
RR
Louisiana(6/26/2024)
RR
Maine(6/26/2024)
RR
Maryland(6/26/2024)
RR
Massachusetts(6/26/2024)
RR
Michigan(6/26/2024)
IAR
Michigan(6/28/2024)
RR
Minnesota(6/26/2024)
RR
Mississippi(6/26/2024)
RR
Missouri(6/26/2024)
RR
Montana(6/26/2024)
RR
Nebraska(6/26/2024)
RR
Nevada(6/26/2024)
RR
New Hampshire(6/26/2024)
RR
New Jersey(6/26/2024)
RR
New Mexico(6/26/2024)
RR
New York(6/26/2024)
RR
North Carolina(6/26/2024)
RR
North Dakota(6/26/2024)
RR
Ohio(6/26/2024)
RR
Oklahoma(6/26/2024)
RR
Oregon(6/26/2024)
RR
Pennsylvania(6/26/2024)
RR
Puerto Rico(6/26/2024)
RR
Rhode Island(6/26/2024)
RR
South Carolina(6/26/2024)
RR
South Dakota(6/26/2024)
RR
Tennessee(6/26/2024)
RR
Texas(6/26/2024)
IAR
Texas(6/26/2024)
IAR
Texas(8/7/2024)
RR
Utah(6/26/2024)
RR
Vermont(6/26/2024)
RR
Virgin Islands(6/26/2024)
RR
Virginia(6/26/2024)
RR
Washington(6/26/2024)
RR
West Virginia(6/26/2024)
RR
Wisconsin(6/26/2024)
RR
Wyoming(6/26/2024)
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.
Company Information
ROCKEFELLER FINANCIAL LLC
CRD#: 291361Grand Rapids, MI 49503TRUST BUT VERIFY
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