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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

JOHN LYNCH

Advisor at ROCKEFELLER CAPITAL MANAGEMENT

PONTE VEDRA BEACH, FL | New York, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 5, 2007 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: Apr 4, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 2
Registered states: 3
Designations: Certified Financial Planner
Exams: S66
First exam: Apr 4, 2007
First registration: Apr 5, 2007
Dual registered: yes, broker-dealer
Other names: JOHN L LYNCH
IAPD individual key: 5216245

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	Jun 18, 2025	n/a	yes	PONTE VEDRA BEACH, FL	Current employment
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Jun 18, 2025	n/a	yes	PONTE VEDRA BEACH, FL\|New York, NY	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Mar 11, 2016	Jun 27, 2025	no	NEW YORK, NY\|NEW YORK, NY\|Ponte Vedra Beach, FL\|NEW YORK, NY	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Mar 23, 2016	no	WHITE PLAINS, NY\|WHITE PLAINS, NY\|WHITE PLAINS, NY\|WHITE PLAINS, NY\|WHITE PLAINS, NY\|WHITE PLAINS, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Apr 26, 2010	Oct 1, 2012	no	WHITE PLAINS, NY\|SCARSDALE, NY\|TUCKAHOE, NY\|YONKERS, NY\|WHITE PLAINS, NY\|WHITE PLAINS, NY\|WHITE PLAINS, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 5, 2007	Oct 6, 2009	no	NEW YORK, NY\|SUMMIT, NJ	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
UBS FINANCIAL SERVICES INC.	ROCKEFELLER CAPITAL MANAGEMENT	Jun 27, 2025	Jun 18, 2025	-9	Firm change	Wirehouse to ibd
J.P. MORGAN SECURITIES LLC	UBS FINANCIAL SERVICES INC.	Mar 23, 2016	Mar 11, 2016	-12	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CHASE INVESTMENT SERVICES CORP.	Oct 6, 2009	Apr 26, 2010	202	Firm change	Other

Relationships

Registered with (6)

→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Jun 18, 2025 to presentfactForm ADV
→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Jun 18, 2025 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Mar 11, 2016 to Jun 27, 2025factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Mar 23, 2016factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Apr 26, 2010 to Oct 1, 2012factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 5, 2007 to Oct 6, 2009factForm ADV

Dated events

Occurred
Jun 27, 2025
Advisor changed firm
John Lynch left Ubs Financial Services Inc. for Rockefeller Capital Management (registered 2025-06-18)
Form ADVobserved 6 days ago