James Allen Mckenzie

Employer firm

Rockefeller Capital Management CRD 294197

$36.8B regulatory AUM 423 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2012 → 10/2023
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Weston, FL
• 08/2012 → 10/2023
  Bank Of America, N.A.
  Weston, FL
• 10/2023 → Present
  Rockefeller Financial Llc
  Palm Beach, FL
• 11/2025 → Present
  Rockefeller Capital Management
  Palm Beach, FL

Previous Registrations

• 2012-05-31 → 2023-10-24
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Weston, FL
  Salem, SC
  Jupiter, FL
  Salem, SC
• 2009-06-01 → 2012-06-21
  Morgan Stanley
  West Palm Beach, FL
  Plantation, FL
• 1998-10-26 → 2009-06-01
  Citigroup Global Markets Inc.
  Plantation, FL
  Fort Lauderdale, FL
  Fort Lauderdale, FL
  West Palm Beach, FL
  West Palm Beach, FL
  Palm Beach, FL
• 2006-01-17 → 2006-02-21
  Legg Mason Wood Walker, Incorporated
  Palm Beach, FL

Other Businesses

I*115728 For profit or not for profit: Non-Profit Organization Name of outside business organization: Palm Beach Atlantic University Investment related: N Address of business: West Palm Beach, Florida 33416 Nature of business: Other,Public, accredited 4-year university Position, title, association: Part-Time, Start date of relationship: 8/23/2018 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Adjunct professor, Rinker School of Business. Teach 1 night/week, Issues in International Business, BUI 3013. I previously was approved and taught a similar class at PBAU in 2007-08.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-11-24
• S63 Uniform Securities Agent State Law Examination
  1998-11-06

Other Names

• Jim Mckenzie