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Detailed Report
JILLIAN MARIE DEMPSEY
JULLIAN DEMPSEY
CRD#: 5902125
IA
Investment Adviser
B
Broker
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 1838 Sir Tyler Drive, Suite 102
Wilmington, NC 28405
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2023 - Present (1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2013 - 2023 (10 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2014 - 2023 (9 years)
License(s)

State Registrations

B
Alabama 9/15/2023
B
New Hampshire 9/15/2023
B
California 9/15/2023
B
New Jersey 9/15/2023
B
Colorado 9/15/2023
B
New York 9/15/2023
B
Connecticut 9/15/2023
B
North Carolina 9/15/2023
B
Delaware 9/15/2023
IA
North Carolina 9/15/2023
B
District of Columbia 3/8/2024
B
Ohio 9/15/2023
B
Florida 9/15/2023
B
Oklahoma 9/15/2023
B
Georgia 9/15/2023
B
Oregon 1/28/2025
B
Idaho 1/28/2025
B
Pennsylvania 9/15/2023
B
Illinois 1/28/2025
B
South Carolina 9/15/2023
B
Louisiana 1/28/2025
B
Tennessee 9/15/2023
B
Maryland 9/15/2023
B
Texas 9/15/2023
B
Massachusetts 9/15/2023
IA
Texas 9/15/2023
B
Michigan 9/15/2023
B
Vermont 9/15/2023
B
Mississippi 1/28/2025
B
Virgin Islands 9/15/2023
B
Missouri 1/28/2025
B
Virginia 9/15/2023
B
Montana 10/6/2023
B
Washington 1/28/2025
B
Nebraska 3/8/2024

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#:291361)
1838 Sir Tyler Drive, Suite 102, Wilmington, NC 28405
Registered with this firm since 9/15/2023
B
ROCKEFELLER FINANCIAL LLC (CRD#:291361)
1838 Sir Tyler Drive, Suite 102, Wilmington, NC 28405
Registered with this firm since 9/15/2023
Previous Registration(s)
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IA
 05/20/2014 - 09/26/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) WILMINGTON, NC
B
 08/14/2013 - 09/26/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) WILMINGTON, NC
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.