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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2024-02-02 |
| TX | RA | APPROVED_RES | 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
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-03-13 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-31 |
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