James Charles Aughenbaugh

Employer firm

Rockefeller Financial LLC CRD 291361

$99.6B regulatory AUM 223 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 03/2023 → 12/2025
  Stephens Inc.
  Dallas, TX
• 12/2025 → Present
  Rockefeller Finanncial Llc
  Dallas, TX
• 03/2016 → 03/2023
  Stephens Inc
  Dallas, TX

Previous Registrations

• 2013-06-10 → 2025-12-22
  Stephens
  Dallas, TX
• 2009-06-01 → 2013-06-28
  Morgan Stanley
  Southlake, TX
• 2008-02-29 → 2009-06-01
  Citigroup Global Markets Inc.
  Southlake, TX
• 2001-06-19 → 2008-03-04
  Raymond James & Associates, Inc.
  Dallas, TX
  Dallas, TX

Exams

• S66 Uniform Combined State Law Examination
  2005-05-18
• S63 Uniform Securities Agent State Law Examination
  1995-02-01