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Shay W Scruggs

Rockefeller Financial LLC

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About Shay W Scruggs

Shay W Scruggs is a registered investment advisor with Rockefeller Financial LLC. Shay has been in the industry since 2000 and has held previous roles with UBS Financial Services Inc. and Deutsche Bank Securities Inc. Shay is licensed in 21 states and holds the Series 7, Series 31, Series 66 and SIE exams.

Firm Information

Shay Scruggs is currently registered with Rockefeller Financial LLC. Rockefeller Financial LLC is a Limited Liability Company formed in 2017 and headquartered in New York, NY. The firm has over 500 employees and manages over $50 billion in assets for clients including high-net-worth individuals, corporations, and charitable organizations. Their services include financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals. They are registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.
Rockefeller Financial LLC

45 ROCKEFELLER PLAZA

NEW YORK, NY 10111

$51.82B

Assets Under Management

161

Total Clients

747

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Shay Scruggs’s Registration & Firm History

TX

06/05/2020 - Present

Rockefeller Financial LLC (Houston TX)

TX

05/02/2014 - 07/02/2020

UBS FINANCIAL SERVICES INC. (HOUSTON TX)

TX

01/15/2010 - 05/13/2014

DEUTSCHE BANK SECURITIES INC. (HOUSTON TX)

TX

07/15/2005 - 01/25/2010

UBS FINANCIAL SERVICES INC. (BRYAN TX)

NY

06/13/2000 - 07/19/2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 07/03/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/31/2003

Series 31 - Futures Managed Funds Examination

BC

Issued 06/12/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Shay W Scruggs. Review regulatory record here.
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