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Lance Owen Burks

Rockefeller Financial LLC

Los Angeles, CA

San Gabriel, CA

Rockefeller Capital Management

Los Angeles, CA

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Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-03-17
CA RA APPROVED 2022-04-11
  • TX RA
    APPROVED
    Since 2026-03-17
  • CA RA
    APPROVED
    Since 2022-04-11

Branch Locations

1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States

San Gabriel, CA • United States

Rockefeller Capital Management

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-08-08
CA RA APPROVED 2024-08-07
  • TX RA
    APPROVED_RES
    Since 2024-08-08
  • CA RA
    APPROVED
    Since 2024-08-07

Branch Locations

1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • 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
Wells Fargo Advisors, Llc Pasadena CA 02/2014 11/2016
Wells Fargo Clearing Services, Llc Pasadena CA 11/2016 01/2020
Wells Fargo Clearing Services, Llc Los Angeles CA 01/2020 03/2022
Rockefeller Financial Llc Los Angeles CA 04/2022 Present
Rockefeller Capital Management Los Angeles CA 08/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-12-05
  • S66 Uniform Combined State Law Examination
    2009-12-05

View on SEC IAPD

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