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Harper J Hicks

Rockefeller Financial LLC

Charlotte, NC

Atlanta, GA

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Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-02-08
TX RA APPROVED 2024-02-08
  • NC RA
    APPROVED
    Since 2024-02-08
  • TX RA
    APPROVED
    Since 2024-02-08

Branch Locations

5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209 • United States

3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • 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
Pruco Securities, Llc Charlotte NC 05/2015 04/2017
The Prudential Insurance Company Of America Charlotte NC 05/2016 05/2017
Sterling Monroe Securities, Llc Locust Valley NY 05/2017 10/2017
Consolidated Portfolio Review Corp. Locust Valley NY 05/2017 10/2017
Morgan Stanley Charlotte NC 02/2018 02/2024
College For Financial Planning Charlotte NC 10/2017 02/2018
Morgan Stanley Private Bank, N.A. New York NY 03/2018 02/2024
Rockefeller Financial Llc Charlotte NC 02/2024 Present
Morgan Stanley Private Bank, N.A New York NY 03/2018 02/2024
  • 05/2015 → 04/2017
    Pruco Securities, Llc
    Charlotte, NC
  • 05/2016 → 05/2017
    The Prudential Insurance Company Of America
    Charlotte, NC
  • 05/2017 → 10/2017
    Sterling Monroe Securities, Llc
    Locust Valley, NY
  • 05/2017 → 10/2017
    Consolidated Portfolio Review Corp.
    Locust Valley, NY
  • 02/2018 → 02/2024
    Morgan Stanley
    Charlotte, NC
  • 10/2017 → 02/2018
    College For Financial Planning
    Charlotte, NC
  • 03/2018 → 02/2024
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 02/2024 → Present
    Rockefeller Financial Llc
    Charlotte, NC
  • 03/2018 → 02/2024
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-13
S63 Uniform Securities Agent State Law Examination 2016-02-19
  • S66 Uniform Combined State Law Examination
    2017-02-13
  • S63 Uniform Securities Agent State Law Examination
    2016-02-19
Designations
Other Names
  • Harper Jeffrey Hicks

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
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MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC
ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
TLG ADVISORS, INC. · Charlotte, NC
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