LH
Leo A. Harrison
ROCKEFELLER FINANCIAL LLC | Senior Financial Advisor
Bentonville, AR 72712
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CRD#: 828754
LH
Professional summary
Leo Andrew Harrison, who also goes by Leo A Harrison, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Bentonville, Arkansas and ROCKEFELLER CAPITAL MANAGEMENT located in Bentonville, Arkansas.
Leo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Leo has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 15, Series 5, Series 7, Series 9, Series 10, Series 8 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Leo A Harrison
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 Leo Andrew Harrison's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leo Andrew Harrison'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
November 29, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 609 Sw 8th Street 6th Floor, Bentonville, AR, 72712RIA
BD
CRD#: 291361
Bentonville, AR
Current
October 6, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 609 Sw 8th Street 6th Floor, Bentonville, AR, 72712RIA
CRD#: 294197
Bentonville, AR
Current
November 29, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 609 Sw 8th Street 6th Floor, Bentonville, AR, 72712RIA
BD
CRD#: 291361
Bentonville, AR
Past
February 22, 2013 - December 3, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ROGERS, AR
Past
February 22, 2013 - December 3, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ROGERS, AR
Past
June 1, 2009 - March 5, 2013
MORGAN STANLEY
RIA
CRD#: 149777
FAYETTEVILLE, AR
Past
June 1, 2009 - March 5, 2013
MORGAN STANLEY
BD
CRD#: 149777
FAYETTEVILLE, AR
Past
August 9, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ROGERS, AR
Past
August 9, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ROGERS, AR
Past
May 28, 2002 - August 10, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
FAYETTEVILLE, AR
Past
December 5, 1986 - August 10, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
April 24, 1984 - December 23, 1986
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
September 26, 1978 - May 14, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
October 21, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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(11/29/2024)
RR
Arizona(11/29/2024)
RR
Arkansas(11/29/2024)
IAR
Arkansas(11/29/2024)
RR
California(11/29/2024)
RR
Colorado(11/29/2024)
RR
Delaware(11/29/2024)
RR
Florida(11/29/2024)
RR
Georgia(11/29/2024)
RR
Idaho(11/29/2024)
RR
Illinois(11/29/2024)
RR
Indiana(11/29/2024)
RR
Kansas(11/29/2024)
RR
Kentucky(11/29/2024)
RR
Louisiana(11/29/2024)
RR
Maryland(11/29/2024)
RR
Missouri(11/29/2024)
RR
Montana(11/29/2024)
RR
Nevada(11/29/2024)
RR
New Hampshire(11/29/2024)
RR
New Jersey(11/29/2024)
RR
New York(11/29/2024)
RR
North Carolina(11/29/2024)
RR
Ohio(11/29/2024)
RR
Oklahoma(12/2/2024)
RR
Oregon(12/10/2024)
RR
Pennsylvania(11/29/2024)
RR
South Carolina(11/29/2024)
RR
Tennessee(11/29/2024)
RR
Texas(11/29/2024)
IAR
Texas(11/29/2024)
IAR
Texas(10/6/2025)
RR
Virginia(11/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 10/26/1988
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/26/1988
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/10/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory 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
Senior Financial AdvisorCRD#: 291361Bentonville, AR 72712TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
