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Lisa K Barnes

Rockefeller Financial LLC

Rogers, AR

Dallas, TX

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Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2024-12-09
OK RA APPROVED 2024-12-03
TX RA APPROVED_RES 2024-12-01
  • AR RA
    APPROVED
    Since 2024-12-09
  • OK RA
    APPROVED
    Since 2024-12-03
  • TX RA
    APPROVED_RES
    Since 2024-12-01

Branch Locations

4206 S Jb Hunt Drive Suite 120, Rogers, AR 72758 • United States

300 Crescent Court Suite 1450, Dallas, TX 75201 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tulsa OK 05/2012 08/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Rogers AR 10/2018 11/2024
Muskogee County Enhanced 911 Center Muskogee OK 08/2018 03/2019
Rockefeller Financial Llc Tahlequah OK 11/2024 11/2024
Rockefeller Financial Llc Bentonville AR 11/2024 07/2026
Rockefeller Financial Llc Rogers AR 07/2026 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-05-04
S63 Uniform Securities Agent State Law Examination 2001-04-04
  • S66 Uniform Combined State Law Examination
    2007-05-04
  • S63 Uniform Securities Agent State Law Examination
    2001-04-04
Other Names
  • Lisa Kay Barnes
  • Lisa K Barnes
  • Lisa Barnes

View on SEC IAPD

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