Haley M. Hawk

GOLDMAN SACHS WEALTH SERVICES, L.P.

Atlanta, GA 30326

Some features on this profile are disabled

CRD#: 6954738

Professional summary

Haley Marie Hawk is a registered financial advisor currently at GOLDMAN SACHS WEALTH SERVICES, L.P. located in Atlanta, Georgia and ROCKEFELLER FINANCIAL LLC located in Atlanta, Georgia.

Haley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Haley has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Haley Marie Hawk's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Haley Marie Hawk's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 15, 2021 - Present

GOLDMAN SACHS WEALTH SERVICES, L.P.

Office #1: 3550 Peachtree Road Ne Suite 1000, Atlanta, GA 30326

RIA

CRD#: 106693

Atlanta, GA

Current

July 16, 2026 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305

RIA

CRD#: 291361

ATLANTA, GA

Current

September 1, 2021 - Present

GOLDMAN SACHS & CO. LLC

Office #1: 3550 Peachtree Road, Ne Suite 1000, Atlanta, GA 30326

RIA

CRD#: 361

ATLANTA, GA

Current

July 15, 2026 - Present

ROCKEFELLER FINANCIAL LLC

Office #1: 3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305

RIA

CRD#: 291361

ATLANTA, GA

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".

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)

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.

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

Alabama
(7/15/2026)

Alaska
(7/15/2026)

Arizona
(7/15/2026)

California
(7/15/2026)

Colorado
(7/15/2026)

Delaware
(7/15/2026)

Florida
(7/15/2026)

Georgia
(11/11/2021)

IAR

Georgia
(11/15/2021)

Idaho
(7/15/2026)

Illinois
(7/15/2026)

Indiana
(7/15/2026)

Kansas
(7/15/2026)

Kentucky
(7/15/2026)

Louisiana
(7/15/2026)

Maryland
(7/15/2026)

Massachusetts
(7/15/2026)

Michigan
(7/15/2026)

Mississippi
(7/15/2026)

Missouri
(7/15/2026)

Nevada
(7/15/2026)

New Hampshire
(7/15/2026)

New Jersey
(7/15/2026)

New Mexico
(7/15/2026)

New York
(11/11/2021)

North Carolina
(7/15/2026)

Ohio
(7/15/2026)

Oklahoma
(7/15/2026)

Oregon
(7/15/2026)

Pennsylvania
(7/15/2026)

Puerto Rico
(7/15/2026)

South Carolina
(7/15/2026)

South Dakota
(7/15/2026)

Tennessee
(7/15/2026)

Texas
(7/15/2026)

IAR

Texas
(7/16/2026)

Utah
(7/15/2026)

Virginia
(7/15/2026)

Washington
(7/15/2026)

Wisconsin
(7/15/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/10/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/1/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/14/2021

Securities Industry Essentials Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX Emerald, LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

MIAX Sapphire

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq MRX, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

Nasdaq Texas, LLC

SRO Registrations

New York Stock Exchange

SRO Registrations

Texas Stock Exchange LLC

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ROCKEFELLER FINANCIAL WRAP FEE BROCHURE (12.24.25) (12/26/2025)

ROCKEFELLER FINANCIAL ADV 2A BROCHURE (12.24.25) (12/24/2025)

Direct owners and executive officers

Name	Position	CRD#
RFS OPCO LLC ("OPCO")	MEMBER
ALEXANDER, MARK DAVID	PRINCIPAL OPERATIONS OFFICER	2202934
KOWALSKI, DEIRDRE PATTEN	PRINCIPAL FINANCIAL OFFICER	1357509
MIRZA, RIZWAN MOHAMMAD	CHIEF COMPLIANCE OFFICER	5080469
MORIARTY, EDMOND NICHOLAS	CO-CHIEF EXECUTIVE OFFICER	1744318
OUTLAW, MICHAEL WAYNE	CO-CHIEF EXECUTIVE OFFICER	2760690

Regulatory assets under management

Total Number of Accounts	76,628
AUM (Assets Under Management)	$ 70,030,224,514

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
08/26/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

Similar Advisors

Robert Busby

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Atlanta, GA

George Mauser

ATLAS INVESTMENT ADVISORS

IAR

ALPHARETTA, GA

Dena Wilhoit

STATE FARM INVESTMENT MANAGEMENT CORP.

IAR

GRAYSON, KY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Haley M. Hawk

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Haley Marie Hawk's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Haley Marie Hawk's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKEFELLER FINANCIAL LLC

GOLDMAN SACHS & CO. LLC

ROCKEFELLER FINANCIAL LLC

Primary Firm SEC Registration

ROCKEFELLER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/10/2021

Series 7TO

Date: 9/1/2021

SIE

Date: 7/14/2021

BOX Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

Long-Term Stock Exchange, Inc.

MEMX LLC

MIAX Emerald, LLC

MIAX PEARL, LLC

MIAX Sapphire

Miami International Securities Exchange, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq MRX, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

Nasdaq Texas, LLC

New York Stock Exchange

Texas Stock Exchange LLC

Current Firm

ROCKEFELLER FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROCKEFELLER FINANCIAL LLC

TRUST BUT VERIFY

Similar Advisors