Guy W. Dietrich
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Guy Whitlock Lloyd Dietrich, who also goes by Guy Whitlock Dietrich, was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1980. Guy had worked at 4 firms and has passed the Series 65, Series 63, Series 5, Series 15, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2019 - January 4, 2021
ROCKEFELLER FINANCIAL LLC
September 29, 2009 - May 22, 2012
UBS FINANCIAL SERVICES INC.
September 29, 2009 - May 22, 2012
UBS FINANCIAL SERVICES INC.
June 1, 2009 - October 22, 2009
MORGAN STANLEY
June 1, 2009 - October 22, 2009
MORGAN STANLEY
May 19, 1994 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 15, 1983 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 1, 1980 - January 4, 1984
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 2/2/1995
Interest Rate Options ExaminationSeries 15
Date: 5/24/1984
Foreign Currency Options ExaminationSeries 8
Date: 2/11/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
