Samuel H. Hodgson
Professional summary
Samuel Haggis Hodgson Jr, CFP®, who also goes by Sam Hodgson, Samuel Haggis Hodgson, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Charlotte, North Carolina and ROCKEFELLER CAPITAL MANAGEMENT located in Charlotte, North Carolina.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Samuel has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Haggis Hodgson Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Samuel Haggis Hodgson Jr's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2020
Experience
April 19, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209February 21, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209April 19, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209August 6, 2019 - May 16, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
July 15, 2019 - May 16, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
July 18, 2017 - July 9, 2019
NATIXIS ADVISORS, LLC
June 26, 2017 - July 9, 2019
NATIXIS DISTRIBUTION, LLC
January 4, 2017 - June 22, 2017
EATON VANCE MANAGEMENT
October 31, 2016 - June 22, 2017
EATON VANCE DISTRIBUTORS, INC.
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
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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.
