Frank Willis
Professional summary
Frank Willis, who also goes by Frank B Willis III, Frank B Willis, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Los Angeles, California and ROCKEFELLER CAPITAL MANAGEMENT located in Los Angeles, California.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Frank has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Frank Willis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank Willis's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 6, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2000 Avenue Of The Stars Suite 530 N, Los Angeles, CA 90067August 12, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 2000 Avenue Of The Stars, Los Angeles, CA 90067October 6, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 2000 Avenue Of The Stars Suite 530 N, Los Angeles, CA 90067March 16, 2018 - October 13, 2023
WELLS FARGO CLEARING SERVICES, LLC
March 16, 2018 - October 13, 2023
WELLS FARGO CLEARING SERVICES, LLC
November 20, 2014 - March 19, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 2014 - March 19, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 2013 - July 14, 2014
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
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.
