Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Winthrop Claghorn is an investment advisor representative with Rockefeller Financial LLC and Rockefeller Capital Management. John is registered with the Securities and Exchange Commission and has over 48 years of experience in the securities industry. John holds several licenses, including Series 7, Series 63 and Series 65. John specializes in providing investment advice to high-net-worth individuals, corporations, and charitable organizations. John has a strong track record of success in helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NY
07/14/2022 - Present
Rockefeller Financial LLC (New York NY)
NY
03/09/2002 - 07/20/2022
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
MA
09/30/1982 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NA
03/16/1979 - 10/13/1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
05/14/1975 - 03/21/1979
COWEN & CO.
NA
07/18/1974 - 08/17/1975
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
IA
Issued 05/05/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/21/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/02/1977
PC - AMEX Put and Call Exam
BC
Issued 07/16/1974
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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