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Detailed Report
THOMAS CASEY STAMPS
CRD#: 6235703
IA
Investment Adviser
B
Broker
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 320 1st Street North, Unit 703
JACKSONVILLE BEACH, FL 32250
Registration History
20132014201520162017201820192020202120222023202420252026IAROCKEFELLER CAPITAL MANAGEMENT (CRD# 291361)2019 - Present (6 years)BROCKEFELLER FINANCIAL LLC (CRD# 291361)2018 - Present (6 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2013 - 2018 (5 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2014 - 2018 (4 years)
License(s)

State Registrations

B
Alabama 12/18/2018
B
Montana 1/29/2020
B
Arizona 12/7/2018
B
Nevada 1/28/2025
B
California 12/7/2018
B
New Jersey 12/7/2018
B
Colorado 3/4/2020
B
New Mexico 1/28/2025
B
Connecticut 11/12/2019
B
New York 12/7/2018
B
Delaware 12/7/2018
B
North Carolina 12/7/2018
B
Florida 12/7/2018
B
North Dakota 12/7/2018
IA
Florida 1/2/2019
B
Ohio 12/7/2018
B
Georgia 12/7/2018
B
Oregon 1/28/2025
IA
Georgia 1/2/2019
B
Pennsylvania 3/4/2020
B
Illinois 12/7/2018
B
Puerto Rico 3/4/2020
B
Indiana 1/28/2025
B
Rhode Island 12/7/2018
B
Kentucky 1/28/2025
B
South Carolina 12/7/2018
B
Louisiana 12/7/2018
B
Tennessee 12/7/2018
B
Maine 12/7/2018
B
Texas 12/7/2018
B
Maryland 12/7/2018
IA
Texas 11/2/2021
B
Massachusetts 12/7/2018
B
Virgin Islands 6/15/2021
B
Michigan 11/2/2021
B
Virginia 3/4/2020
B
Mississippi 3/4/2020
B
Wisconsin 12/7/2018
B
Missouri 12/7/2018
B
Wyoming 11/2/2021

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)
320 1st Street North, Unit 703, JACKSONVILLE BEACH, FL 32250
Registered with this firm since 1/2/2019
B
ROCKEFELLER FINANCIAL LLC (CRD#:291361)
320 1st Street North, Unit 703, JACKSONVILLE BEACH, FL 32250
Registered with this firm since 12/7/2018
Previous Registration(s)
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IA
 01/31/2014 - 12/18/2018 UBS FINANCIAL SERVICES INC. (CRD#:8174) JACKSONVILLE, FL
B
 11/14/2013 - 12/18/2018 UBS FINANCIAL SERVICES INC. (CRD#:8174) JACKSONVILLE, FL
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.