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Detailed Report
JOHN BUTLER HORTON JR.
JOHN BUTLER HORTON
CRD#: 5127215
IA
Investment Adviser
B
Broker
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 294197 8 Sound Shore Drive
Greenwich, CT 06830
ROCKEFELLER FINANCIAL LLCCRD#: 291361 8 Sound Shore Drive
Greenwich, CT 06830
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2009 (3 years)2 FIRMS2019 - Present (5 years)IAROCKEFELLER CAPITAL MANAGEMENT (CRD# 294197)2024 - Present (1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2009 - 2019 (10 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2009 - 2012 (2 years)
License(s)

State Registrations

B
Arizona 6/15/2021
B
North Carolina 1/28/2020
B
California 1/28/2020
B
Oklahoma 8/10/2021
B
Colorado 11/11/2020
B
Oregon 1/28/2020
B
Connecticut 12/2/2019
B
Rhode Island 1/28/2020
IA
Connecticut 12/3/2019
B
South Carolina 1/28/2020
B
District of Columbia 11/15/2023
B
Tennessee 11/15/2023
B
Florida 1/28/2020
B
Texas 11/11/2020
B
Idaho 8/31/2020
IA
Texas 7/7/2021
B
Illinois 1/23/2024
IA
Texas 1/26/2024
B
Maine 1/28/2020
B
Utah 4/28/2020
B
Massachusetts 1/28/2020
B
Vermont 1/28/2020
B
Montana 1/28/2020
B
Virginia 1/21/2022
B
Nevada 10/12/2020
B
Washington 1/21/2022
B
New Hampshire 12/2/2021
B
Wisconsin 7/7/2021
B
New Jersey 1/28/2020
B
Wyoming 12/2/2024
B
New York 12/2/2019

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)
8 Sound Shore Drive, Greenwich, CT 06830
Registered with this firm since 1/26/2024
IA
ROCKEFELLER CAPITAL MANAGEMENT (CRD#:291361)
8 Sound Shore Drive, Greenwich, CT 06830
Registered with this firm since 12/3/2019
B
ROCKEFELLER FINANCIAL LLC (CRD#:291361)
8 Sound Shore Drive, Greenwich, CT 06830
Registered with this firm since 12/2/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/30/2009 - 11/25/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) Greenwich, CT
IA
 08/17/2009 - 05/15/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) Greenwich, CT
IA
 05/15/2006 - 06/03/2009 ALLIANCEBERNSTEIN L.P. (CRD#:108477) NEW YORK, NY
B
 05/03/2006 - 06/03/2009 SANFORD C. BERNSTEIN & CO., LLC (CRD#:104474) NEW YORK, NY
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.