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Kristin K Mccarthy

Rockefeller Financial LLC

Wilmington, 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 2026-06-12
TX RA APPROVED 2026-06-12
  • NC RA
    APPROVED
    Since 2026-06-12
  • TX RA
    APPROVED
    Since 2026-06-12

Branch Locations

1838 Sir Tyler Drive, Suite 102, Wilmington, NC 28405 • 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
Morgan Stanley Smith Barney Fayetteville NC 06/2009 06/2026
Morgan Stanley Private Bank, National Association New York NY 01/2015 06/2026
Rockefeller Financial Llc Wilmington NC 06/2026 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 Present
  • 06/2009 → 06/2026
    Morgan Stanley Smith Barney
    Fayetteville, NC
  • 01/2015 → 06/2026
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 06/2026 → Present
    Rockefeller Financial Llc
    Wilmington, NC
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-02
S63 Uniform Securities Agent State Law Examination 1999-07-01
  • S65 Uniform Investment Adviser Law Examination
    1999-07-02
  • S63 Uniform Securities Agent State Law Examination
    1999-07-01
Other Names
  • Kristin K Simmons
  • Kristin Klarenbeck Simmons
  • Kristin Klarenbeck Mccarthy
  • Kristin K Simmons

View on SEC IAPD

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WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
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