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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2024-02-02
TX RA APPROVED_RES 2024-02-01
  • VA RA
    APPROVED
    Since 2024-02-02
  • TX RA
    APPROVED_RES
    Since 2024-02-01

Branch Locations

180 Park Ave Suite 203, Florham Park, NJ 07932 • United States

200 S 10Th Street, Suite 950, Richmond, VA 23219 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bb&T Securities Richmond VA 02/2014 02/2021
Truist Investment Services, Inc. Richmond VA 02/2021 02/2024
Truist Advisory Services, Inc. Atlanta GA 02/2021 02/2024
Rockefeller Financial Llc Richmond VA 02/2024 Present
Previous Registrations
  • 2021-02-17 → 2024-02-05
    Richmond, VA
    Richmond, VA
  • 2014-02-24 → 2021-02-17
    Bb&T Securities, Llc
    Richmond, VA
    Richmond, VA
  • 2009-06-01 → 2014-02-21
    Richmond, VA
    Richmond, VA
  • 2009-04-09 → 2009-06-01
    Richmond, VA
  • 2005-06-28 → 2009-05-06
    Truist Investment Services, Inc.
    Richmond, VA
    Richmond, VA
  • 2002-06-21 → 2005-07-15
    Truist Securities, Inc.
    Richmond, VA
  • 1994-10-25 → 2002-07-01
    Richmond, VA
Other Businesses

1) THE FAISON CENTERS FOR EXCELLENCE: START APPROX JAN 1 2010, NOT INVESTMENT RELATED, NOT PUBLICLY TRADED, 1701 BYRD AVE RICHMOND VA 23230, BOARD MEMBER, APPROX 3 HRS PER MONTH DURING NORMAL BUSINESS, NO COMP. 2) MASSEY CANCER CENTER. POSITION: Board Member NATURE: Cancer Research INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 05/04/2017. ADDRESS: 401 College Street, Richmond VA 23298 3) VA CEOS. POSITION: Member NATURE: Business organization with other business owners. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 06/30/2016. ADDRESS: 1500 Mactavish Ave, Richmond VA 23230 4) Lewis McClures Mill LLC, 267 McClure's Mill Road, Greenville VA 24440. Investment related. Owner since 08/31/2016. Inherited beef cattle operation with eight rental properties. He devotes 42 hours a month to the LLC and 3 hours during trading hours. 5) Lewis SPRINGLEIGH LLC, Virginia. Investment related. Owner since 2014. Rental property. He devotes about 30 hours a month to the LLC and zero hours during trading hours. 6) Lewis Howardsville Road LLC, Virginia. Investment related. Co-Owner since 2021. Rental property. He devotes about 30 hours a month to the LLC and zero hours during trading hours. 7) Mama Lew's LLC, Virginia. Investment related. Owner since April 2022. Retail store. He devotes 12 hours a month to the LLC and zero hours during trading hours. 8) EWPW LLC, Virginia LLC, rental property, owner, 25%, Managing Member since 8/25. He devotes 12 hours per month, none during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-03-13
S63 Uniform Securities Agent State Law Examination 1992-01-31
  • S65 Uniform Investment Adviser Law Examination
    1992-03-13
  • S63 Uniform Securities Agent State Law Examination
    1992-01-31
Other Names
  • John Lewis

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