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Detailed Report
RYAN THOMAS PAPEZ
RYAN T PAPEZ, RYAN THOMAS T PAPEZ
CRD#: 5946032
IA
Investment Adviser
B
Broker
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 MAX at Kierland
16220 North Scottsdale Road
Scottsdale, AZ 85254
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2020 - Present (4 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2015 - 2020 (5 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2019 - 2020 (1 year)
License(s)

State Registrations

B
Alaska 9/4/2020
B
Nevada 9/4/2020
B
Arizona 9/4/2020
B
New Jersey 9/4/2020
IA
Arizona 9/21/2020
B
New Mexico 9/4/2020
B
California 9/4/2020
B
New York 9/4/2020
IA
California 6/4/2024
B
North Carolina 9/4/2020
B
Colorado 9/4/2020
B
Ohio 9/8/2020
B
Connecticut 9/4/2020
B
Oklahoma 9/4/2020
B
Delaware 1/28/2021
B
Oregon 9/4/2020
B
District of Columbia 9/4/2020
B
Pennsylvania 9/4/2020
B
Florida 9/4/2020
B
Rhode Island 9/4/2020
B
Georgia 9/4/2020
B
South Carolina 9/4/2020
B
Illinois 9/4/2020
B
Tennessee 9/4/2020
B
Kansas 9/4/2020
B
Texas 9/4/2020
B
Louisiana 5/31/2024
IA
Texas 9/4/2020
B
Maine 9/4/2020
B
Utah 9/4/2020
B
Massachusetts 9/4/2020
B
Virginia 9/4/2020
B
Michigan 9/4/2020
B
Washington 9/4/2020
B
Minnesota 9/4/2020
B
West Virginia 8/8/2024
B
Mississippi 9/4/2020
B
Wisconsin 9/4/2020
B
Missouri 9/4/2020
B
Wyoming 9/4/2020

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#:291361)
MAX at Kierland 16220 North Scottsdale Road, Scottsdale, AZ 85254
2000 Avenue of the Stars Suite 530 N, Los Angeles, CA 90067
Registered with this firm since 9/4/2020
B
ROCKEFELLER FINANCIAL LLC (CRD#:291361)
MAX at Kierland 16220 North Scottsdale Road, Scottsdale, AZ 85254
2000 Avenue of the Stars Suite 530 N, Los Angeles, CA 90067
Registered with this firm since 9/4/2020
Previous Registration(s)
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IA
 08/28/2019 - 09/15/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) SCOTTSDALE, AZ
B
 04/28/2015 - 09/15/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) SCOTTSDALE, AZ
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.