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Detailed Report
APRIL LEIGH GAY
CRD#: 4599191
IA
Investment Adviser
B
Broker
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 294197 3060 Peachtree Road, NW, Suite 110
ATLANTA, GA 30305
ROCKEFELLER FINANCIAL LLCCRD#: 291361 3060 Peachtree Road, NW, Suite 110
ATLANTA, GA 30305
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2020 - Present (5 years)IAROCKEFELLER CAPITAL MANAGEMENT (CRD# 294197)2024 - Present (1 year)BMORGAN STANLEY (CRD# 149777)2014 - 2020 (5 years)BE*TRADE SECURITIES LLC (CRD# 29106)2013 - 2014 (1 year)IAMORGAN STANLEY (CRD# 149777)2015 - 2020 (4 years)
License(s)

State Registrations

B
Alabama 1/10/2020
B
Montana 1/10/2020
B
Alaska 1/10/2020
B
Nebraska 1/10/2020
B
Arizona 1/10/2020
B
Nevada 1/10/2020
B
Arkansas 1/10/2020
B
New Hampshire 1/10/2020
B
California 1/10/2020
B
New Jersey 1/10/2020
B
Colorado 1/10/2020
B
New Mexico 1/10/2020
B
Connecticut 1/10/2020
B
New York 1/10/2020
B
Delaware 1/10/2020
B
North Carolina 1/10/2020
B
District of Columbia 1/10/2020
B
North Dakota 1/10/2020
B
Florida 1/10/2020
B
Ohio 1/10/2020
B
Georgia 1/10/2020
B
Oklahoma 1/10/2020
IA
Georgia 1/30/2020
B
Oregon 1/10/2020
B
Hawaii 1/10/2020
B
Pennsylvania 1/10/2020
B
Idaho 1/10/2020
B
Rhode Island 1/10/2020
B
Illinois 1/10/2020
B
South Carolina 1/10/2020
B
Indiana 1/10/2020
B
South Dakota 1/10/2020
B
Iowa 1/10/2020
B
Tennessee 1/10/2020
B
Kansas 1/10/2020
B
Texas 1/10/2020
B
Kentucky 1/10/2020
IA
Texas 9/22/2021
B
Louisiana 1/10/2020
IA
Texas 2/22/2024
B
Maine 1/10/2020
B
Utah 1/10/2020
B
Maryland 1/10/2020
B
Vermont 1/10/2020
B
Massachusetts 1/10/2020
B
Virginia 1/10/2020
B
Michigan 1/10/2020
B
Washington 1/10/2020
B
Minnesota 1/10/2020
B
West Virginia 1/10/2020
B
Mississippi 1/10/2020
B
Wisconsin 1/10/2020
B
Missouri 1/10/2020
B
Wyoming 1/10/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ROCKEFELLER CAPITAL MANAGEMENT (CRD#:294197)
3060 Peachtree Road, NW, Suite 110, ATLANTA, GA 30305
Registered with this firm since 2/22/2024
IA
ROCKEFELLER CAPITAL MANAGEMENT (CRD#:291361)
3060 Peachtree Road, NW, Suite 110, ATLANTA, GA 30305
Registered with this firm since 1/30/2020
B
ROCKEFELLER FINANCIAL LLC (CRD#:291361)
3060 Peachtree Road, NW, Suite 110, ATLANTA, GA 30305
Registered with this firm since 1/10/2020
Previous Registration(s)
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IA
 04/27/2015 - 01/14/2020 MORGAN STANLEY (CRD#:149777) ATLANTA, GA
B
 09/03/2014 - 01/14/2020 MORGAN STANLEY (CRD#:149777) ATLANTA, GA
B
 08/21/2013 - 09/09/2014 E*TRADE SECURITIES LLC (CRD#:29106) ALPHARETTA, GA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.