CM
Caryn M. Minns
ROCKEFELLER FINANCIAL LLC
Palm Beach Gardens, FL 33410
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CRD#: 6067602
CM
Professional summary
Caryn Marie Minns, who also goes by Caryn Marie Minns, Caryn Minns, Caryn Marie Ploysungvarl, Caryn Ploysungvarl, is a registered financial professional currently at ROCKEFELLER FINANCIAL LLC located in Palm Beach Gardens, Florida.
Caryn is registered as a RR (Registered Representative) and started their career in finance in 2012. Caryn has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Caryn Marie Minns | Caryn Minns | Caryn Marie Ploysungvarl | Caryn Ploysungvarl
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) - BD
Click below to view Caryn Marie Minns'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
November 12, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410RIA
BD
CRD#: 291361
Palm Beach Gardens, FL
Past
February 17, 2021 - November 16, 2021
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
Palm Beach, FL
Past
October 31, 2017 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
Palm Beach, FL
Past
September 6, 2016 - October 23, 2017
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
Miami, FL
Past
September 12, 2012 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
MIAMI, FL
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.
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(3/8/2024)
RR
California(11/12/2021)
RR
Colorado(11/12/2021)
RR
Connecticut(11/12/2021)
RR
Delaware(11/12/2021)
RR
District of Columbia(11/12/2021)
RR
Florida(11/12/2021)
RR
Georgia(11/12/2021)
RR
Illinois(11/12/2021)
RR
Indiana(11/12/2021)
RR
Louisiana(11/12/2021)
RR
Maryland(11/12/2021)
RR
Massachusetts(11/12/2021)
RR
Michigan(4/1/2022)
RR
Minnesota(11/12/2021)
RR
Montana(3/28/2025)
RR
New Hampshire(11/12/2021)
RR
New Jersey(11/12/2021)
RR
New York(11/12/2021)
RR
North Carolina(11/12/2021)
RR
Ohio(11/12/2021)
RR
Pennsylvania(11/12/2021)
RR
South Carolina(11/12/2021)
RR
South Dakota(7/15/2022)
RR
Texas(11/12/2021)
RR
Utah(11/12/2021)
RR
Vermont(11/21/2023)
RR
Virginia(11/12/2021)
RR
Washington(11/12/2021)
RR
West Virginia(11/12/2021)
RR
Wisconsin(4/1/2022)
RR
Wyoming(11/12/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
