James S. Venetos
ROCKEFELLER CAPITAL MANAGEMENT | Managing Director
NY, NY 10111
Some features on this profile are disabled
CRD#: 862197
Professional summary
James S Venetos, who also goes by James Stacy Venetos, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Ny, New York and ROCKEFELLER FINANCIAL LLC located in New York, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Biography
James Venetos is a Managing Director and Wealth Partner with J.P. Morgan Wealth Management. He draws on his significant industry experience to deliver sophisticated strategies and customized wealth management services for high-net-worth individuals and their families.
Jim has managed the assets of successful clients through many market cycles and understands the importance of mitigating risk in a personalized manner. He develops investment portfolios that he tailors to his clients' specific goals. Jim provides access to the firm's products and services—banking, mortgage, lending and credit—to help address a wide array of investment needs. Known for his insightful perspective, he is committed to building multi-generational relationships and placing clients first. In 2021, Jim was recognized by Forbes as a Best-In-State Wealth Advisor.1
As a member of the J.P. Morgan Portfolio Manager Program, Jim is one of a select group of advisors who undergo a screening process to manage discretionary client portfolios, and are subject to ongoing quantitative and qualitative reviews to assess each advisor's investment strategy.
Before joining J.P. Morgan in 2006, Jim was a Managing Director and Senior Portfolio Manager at Smith Barney. He began his career at Drexel Burnham Lambert.
Jim was raised in Brooklyn, one of four boys born to a hardworking family. Through dedication and perseverance, he entered Cornell University at the age of 16 on a full academic scholarship. Jim holds a B.S. from the college's School of Hotel Administration. He also earned an MBA from the University of Massachusetts. He is multilingual and speaks Greek, German and is conversant in Italian and Spanish.
Active in his community, Jim is a former board member of the Newport Music Festival and the King School in Stamford, Connecticut. He participates in a variety of worthy causes including The Blanton-Peale Institute and Counseling Center, an organization that provides affordable and holistic mental-health care to people who represent the diversity of New York City. He is also involved with Person-to-Person, whose mission is to provide emergency assistance for basic needs plus other support to individuals and families as they move toward financial stability.
Jim served in the Army as a First Lieutenant during the Vietnam War. He is proud to be a U.S. veteran and is the founder of the Museum of the United States Army in Washington, D.C. Jim participates in The U.S. Army Foundation and The Wounded Warrior Project.
Married with three children, he leads an active lifestyle and enjoys travel and music of all genres.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Stacy Venetos
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 James S Venetos's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James S Venetos'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
January 17, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 45 Rockefeller Plaza 5th Floor, Ny, NY, 10111RIA
CRD#: 294197
NY, NY
Current
January 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Current
January 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Past
January 25, 2006 - January 22, 2025
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NEW YORK, NY
Past
January 13, 2006 - January 22, 2025
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
May 22, 1989 - February 1, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
February 1, 1979 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
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
California(1/17/2025)
RR
Connecticut(1/17/2025)
IAR
Connecticut(1/17/2025)
RR
Delaware(2/13/2025)
RR
District of Columbia(1/17/2025)
RR
Florida(2/11/2025)
RR
Illinois(8/6/2025)
RR
Iowa(1/17/2025)
RR
Maine(1/17/2025)
RR
Maryland(1/17/2025)
RR
Massachusetts(1/17/2025)
RR
Michigan(1/17/2025)
RR
Missouri(1/17/2025)
RR
Montana(1/17/2025)
RR
New Jersey(1/17/2025)
RR
New York(1/17/2025)
IAR
New York(1/17/2025)
RR
North Carolina(1/17/2025)
RR
South Carolina(1/17/2025)
RR
Texas(1/17/2025)
IAR
Texas(1/17/2025)
RR
Virginia(1/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/25/1985
General Securities Sales Supervisor Examination (Options Module & General Module)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
| 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 | 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
Managing DirectorCRD#: 291361Ny, NY 10111TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
