AF
Ashlee M. Fox
ROCKEFELLER FINANCIAL LLC
Hilton Head Island, SC 29926
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CRD#: 6562924
AF
Professional summary
Ashlee Marie Fox, who also goes by Ashlee Marie Fox, Ashlee Fox, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Hilton Head Island, South Carolina.
Ashlee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Ashlee has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ashlee Marie Fox | Ashlee Fox
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) - RIA
Click below to view Ashlee Marie Fox's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ashlee Marie Fox'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
May 23, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 10 Hospital Center Commons, Suite 400, Hilton Head Island, SC 29926RIA
BD
CRD#: 291361
Hilton Head Island, SC
Current
May 23, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 10 Hospital Center Commons, Suite 400, Hilton Head Island, SC 29926RIA
BD
CRD#: 291361
Hilton Head Island, SC
Past
December 22, 2022 - May 8, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Savannah, GA
Past
December 22, 2022 - May 8, 2024
MORGAN STANLEY
BD
CRD#: 149777
Savannah, GA
Past
June 15, 2022 - December 1, 2022
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Mount Pleasant, SC
Past
June 15, 2022 - December 1, 2022
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Mount Pleasant, SC
Past
August 27, 2021 - May 25, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
MOUNT PLEASANT, SC
Past
February 4, 2021 - May 18, 2022
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
MOUNT PLEASANT, SC
Past
January 9, 2020 - October 19, 2020
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
MT. PLEASANT, SC
Past
August 31, 2017 - January 3, 2020
MORGAN STANLEY
BD
CRD#: 149777
NAPLES, 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.
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(5/24/2024)
RR
Arizona(5/24/2024)
RR
California(5/24/2024)
RR
Colorado(5/24/2024)
RR
Florida(5/24/2024)
RR
Georgia(5/24/2024)
RR
Idaho(5/24/2024)
RR
Massachusetts(5/24/2024)
RR
Montana(5/24/2024)
RR
Nevada(5/24/2024)
RR
New Jersey(5/24/2024)
RR
New Mexico(5/24/2024)
RR
North Carolina(5/24/2024)
RR
Ohio(5/24/2024)
RR
Pennsylvania(5/24/2024)
RR
South Carolina(5/23/2024)
IAR
South Carolina(5/23/2024)
RR
Tennessee(5/24/2024)
RR
Texas(5/24/2024)
IAR
Texas(5/24/2024)
RR
Utah(5/24/2024)
RR
Virginia(5/24/2024)
RR
Washington(5/24/2024)
RR
Wisconsin(5/24/2024)
Exams
State Security Law Exam
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.
Company Information
ROCKEFELLER FINANCIAL LLC
CRD#: 291361Hilton Head Island, SC 29926TRUST BUT VERIFY
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