Harper J. Hicks
ROCKEFELLER FINANCIAL LLC
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 6523926
Professional summary
Harper J Hicks, CFP®, who also goes by Harper Jeffrey Hicks, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Charlotte, North Carolina.
Harper is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Harper has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Harper Jeffrey Hicks
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.
Investment Related (Y or N): N Business Address (City, State): Charlotte, NC Nature of the business: Pianist Relationship/position: I am a musician. I periodically play piano at the airport, weddings, funerals, and dinner parties. Start Date: December 2009 Time spent during trading hours: 0 Time spent outside of trading hours: 2 *381477 - LLC; Investment related; LLC Profit Sharing Partnership; Partnership/Owner (proprietor, partner, officer, director, employee, trustee, agent); Oct 2019; During business hours: 0; After business hours: 1; Relationship Introductions.
CRS (Client Relationship Summary) - RIA
Click below to view Harper J Hicks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Harper J Hicks'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: 2020
Experience
Current
February 8, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209RIA
BD
CRD#: 291361
Charlotte, NC
Current
February 8, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209RIA
BD
CRD#: 291361
Charlotte, NC
Past
February 22, 2018 - February 14, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Charlotte, NC
Past
February 22, 2018 - February 14, 2024
MORGAN STANLEY
BD
CRD#: 149777
Charlotte, NC
Past
April 25, 2017 - October 31, 2017
CONSOLIDATED PORTFOLIO REVIEW CORP
RIA
CRD#: 112694
Matthews, NC
Past
April 25, 2017 - October 31, 2017
IMPACTU.INVESTMENTS, LLC
BD
CRD#: 122696
Matthews, NC
Past
March 2, 2017 - April 21, 2017
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
CHARLOTTE, NC
Past
December 22, 2015 - April 21, 2017
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CHARLOTTE, NC
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(2/8/2024)
RR
Alaska(11/5/2024)
RR
Arizona(2/8/2024)
RR
California(2/8/2024)
RR
Colorado(2/8/2024)
RR
Connecticut(2/8/2024)
RR
Delaware(2/8/2024)
RR
District of Columbia(2/8/2024)
RR
Florida(2/8/2024)
RR
Georgia(2/8/2024)
RR
Hawaii(2/8/2024)
RR
Idaho(2/8/2024)
RR
Illinois(2/8/2024)
RR
Indiana(2/8/2024)
RR
Kentucky(2/8/2024)
RR
Louisiana(2/8/2024)
RR
Maryland(2/8/2024)
RR
Massachusetts(2/8/2024)
RR
Michigan(2/8/2024)
RR
Mississippi(1/28/2025)
RR
Montana(2/8/2024)
RR
New Jersey(2/8/2024)
RR
New Mexico(2/8/2024)
RR
New York(2/8/2024)
RR
North Carolina(2/8/2024)
IAR
North Carolina(2/8/2024)
RR
Ohio(2/8/2024)
RR
Pennsylvania(2/8/2024)
RR
Puerto Rico(2/8/2024)
RR
South Carolina(2/8/2024)
RR
Tennessee(2/8/2024)
RR
Texas(2/8/2024)
IAR
Texas(2/8/2024)
RR
Virginia(2/8/2024)
RR
Washington(2/8/2024)
RR
West Virginia(2/8/2024)
RR
Wisconsin(10/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
