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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

JAMES ALLEN MCKENZIE

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

Palm Beach Gardens, FL | ATLANTA, GA

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Search this name across graphsid dfx:ria:75782281-746c-00b7-eeea-aaeb9d3d4fcd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 26, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ROCKEFELLER CAPITAL MANAGEMENT
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 26, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 2
Registered states: 2
Exams: S65|S63
First exam: Nov 6, 1998
First registration: Oct 26, 1998
Dual registered: yes, broker-dealer
Other names: JIM MCKENZIE
IAPD individual key: 3114262

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Nov 5, 2025	n/a	yes	Palm Beach Gardens, FL	Current employment
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Oct 20, 2023	n/a	yes	Palm Beach Gardens, FL\|ATLANTA, GA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 31, 2012	Oct 24, 2023	no	WESTON, FL\|SALEM, SC\|JUPITER, FL\|SALEM, SC	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jun 21, 2012	no	West Palm Beach, FL\|Plantation, FL	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Jan 17, 2006	Feb 21, 2006	no	PALM BEACH, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Oct 26, 1998	Jun 1, 2009	no	PLANTATION, FL\|FORT LAUDERDALE, FL\|FORT LAUDERDALE, FL\|WEST PALM BEACH, FL\|WEST PALM BEACH, FL\|PALM BEACH, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ROCKEFELLER CAPITAL MANAGEMENT	Oct 24, 2023	Oct 20, 2023	-4	Firm change	Wirehouse to ibd
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 21, 2012	May 31, 2012	-21	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	LEGG MASON WOOD WALKER, INCORPORATED	Jun 1, 2009	Jan 17, 2006	-1,231	Firm change after gap	Other
LEGG MASON WOOD WALKER, INCORPORATED	MORGAN STANLEY	Feb 21, 2006	Jun 1, 2009	1,196	Firm change after gap	Other

Relationships

Registered with (6)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Nov 5, 2025 to presentfactForm ADV
→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Oct 20, 2023 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 31, 2012 to Oct 24, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jun 21, 2012factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Oct 26, 1998 to Jun 1, 2009factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Jan 17, 2006 to Feb 21, 2006factForm ADV

Dated events

Occurred
Oct 24, 2023
Advisor changed firm
James Allen Mckenzie left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Rockefeller Capital Management (registered 2023-10-20)
Form ADVobserved 4 days ago