LP
Lindsay E. Payne
ROCKEFELLER FINANCIAL LLC
Richmond, VA 23219
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CRD#: 6432016
LP
Professional summary
Lindsay Elizabeth Payne, CFP®, who also goes by Lindsay Elizabeth Dillon, Lindsay Dillon, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Richmond, Virginia.
Lindsay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Lindsay has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lindsay Elizabeth Dillon | Lindsay Dillon
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.
GREATER RICHMOND STOP CHILD ABUSE NOW (SCAN) POSITION: Board of Young Professionals Member NATURE: Board of Young Professionals member plan events designed to raise funds and awareness for domestic and child abuse, specifically promote healthy familial relationships INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2018 ADDRESS: 103 E Grace St, Richmond VA 23219 NEX ESTATE PLANNING GROUP POSITION: Member NATURE: Learning about estate planning processes and regulations that relate to financial planning. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/12/2020 ADDRESS: 3409 Moore Street, Richmond VA 23230
CRS (Client Relationship Summary) - RIA
Click below to view Lindsay Elizabeth Payne's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lindsay Elizabeth Payne'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®
CFP®
Start date: 2019
Experience
Current
February 1, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 200 S 10th Street, Suite 950, Richmond, VA 23219RIA
BD
CRD#: 291361
Richmond, VA
Current
February 1, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 200 S 10th Street, Suite 950, Richmond, VA 23219RIA
BD
CRD#: 291361
Richmond, VA
Past
February 17, 2021 - February 5, 2024
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
RICHMOND, VA
Past
February 17, 2021 - February 5, 2024
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
RICHMOND, VA
Past
July 3, 2017 - February 17, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
May 16, 2017 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
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(2/1/2024)
RR
California(2/1/2024)
RR
Colorado(2/1/2024)
RR
Delaware(2/1/2024)
RR
Florida(2/1/2024)
RR
Georgia(2/1/2024)
RR
Illinois(2/1/2024)
RR
Maine(2/1/2024)
RR
Maryland(2/1/2024)
RR
Massachusetts(2/1/2024)
RR
Michigan(2/1/2024)
RR
Mississippi(2/1/2024)
RR
Nevada(2/1/2024)
RR
New Hampshire(2/1/2024)
RR
New Jersey(2/1/2024)
RR
New Mexico(2/1/2024)
RR
New York(2/1/2024)
RR
North Carolina(2/1/2024)
RR
Ohio(2/1/2024)
RR
Oklahoma(2/1/2024)
RR
Pennsylvania(2/1/2024)
RR
South Carolina(2/1/2024)
RR
Tennessee(2/1/2024)
RR
Texas(2/1/2024)
IAR
Texas(2/1/2024)
RR
Virginia(2/1/2024)
IAR
Virginia(2/1/2024)
RR
Washington(2/1/2024)
RR
West Virginia(2/1/2024)
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#: 291361Richmond, VA 23219TRUST BUT VERIFY
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