FF
Frederick D. Farnsworth
ROCKEFELLER FINANCIAL LLC
Chula Vista, CA
Some features on this profile are disabled
CRD#: 732525
FF
Professional summary
Frederick Donald Farnsworth, who also goes by Don Farnsworth, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Chula Vista, California and ROCKEFELLER CAPITAL MANAGEMENT located in San Diego, California.
Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Frederick has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 5 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Don Farnsworth
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.
*234592 - TGSL; Investment related Yes; Isla Vista, CA; Student Housing; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); Dec 2012; During business hours: 0; After business hours: 2; To oversee property manager. * 414495 - Altitude Helicopters; Investment related No; San Diego, CA; Education; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); Dec 2020; During business hours: 0; After business hours: 10; Check Signing/Funds Disbursements Nancy Vos Trust, Investment Related, 325 S Sierra Ave., Unit 12, Solana Beach, CA 92075, Invest and distribute monthly income to an income beneficiary, Trustee, June 1994, During business hours: 0; After business hours: 1, Oversee investment, managed file and pay taxes. *423361 - 885 Crystal View Drive; Investment related Yes; Parker, AZ; Real Estate; Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent); Nov 2020; During business hours: 0; After business hours: 1; Property Management.
CRS (Client Relationship Summary) - RIA
Click below to view Frederick Donald Farnsworth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frederick Donald Farnsworth'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
April 29, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #2: 3721 Valley Centre Drive, San Diego, CA 92130RIA
BD
CRD#: 291361
Chula Vista, CA
Current
February 21, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 3721 Valley Centre Drive, San Diego, CA 92130RIA
CRD#: 294197
San Diego, CA
Current
April 29, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3721 Valley Centre Drive, San Diego, CA 92130RIA
BD
CRD#: 291361
San Diego, CA
Past
November 3, 2009 - May 19, 2022
MORGAN STANLEY
RIA
CRD#: 149777
San Diego, CA
Past
June 1, 2009 - May 19, 2022
MORGAN STANLEY
BD
CRD#: 149777
San Diego, CA
Past
October 31, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SANTA BARBARA, CA
Past
January 1, 2008 - November 7, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SANTA BARBARA, CA
Past
January 1, 2008 - November 7, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SANTA BARBARA, CA
Past
July 8, 1997 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
SANTA BARBARA, CA
Past
July 28, 1989 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
SANTA BARBARA, CA
Past
August 28, 1984 - August 1, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
June 23, 1981 - July 30, 1984
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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
Arizona(4/29/2022)
RR
California(4/29/2022)
IAR
California(4/29/2022)
RR
Colorado(4/29/2022)
RR
Florida(4/29/2022)
RR
Idaho(4/29/2022)
RR
Illinois(11/15/2024)
RR
Minnesota(5/24/2022)
RR
Nevada(4/29/2022)
RR
North Carolina(4/29/2022)
RR
Oregon(3/2/2023)
RR
Texas(4/29/2022)
IAR
Texas(4/29/2022)
RR
Virginia(4/29/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 11/9/1981
Interest Rate Options ExaminationGeneral 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.
