Mark E. Dahl
Professional summary
Mark Eric Dahl is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Houston, Texas and ROCKEFELLER FINANCIAL LLC located in Houston, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Mark has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Eric Dahl's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Eric Dahl's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 17, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 1600 West Loop South, Suite 700, Houston, TX 77027January 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1600 West Loop South, Suite 700, Houston, TX 77027January 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 1600 West Loop South, Suite 700, Houston, TX 77027August 28, 2020 - February 3, 2025
MORGAN STANLEY
August 28, 2020 - February 3, 2025
MORGAN STANLEY
July 20, 2012 - September 8, 2020
UBS FINANCIAL SERVICES INC.
July 20, 2012 - September 8, 2020
UBS FINANCIAL SERVICES INC.
January 19, 2012 - July 19, 2012
USCA RIA LLC
September 3, 2010 - July 19, 2012
USCA SECURITIES LLC
December 23, 2009 - August 3, 2010
OSAIC FA, INC.
December 23, 2009 - August 3, 2010
OSAIC FA, INC.
March 4, 2008 - June 25, 2009
UBS FINANCIAL SERVICES INC.
February 22, 2008 - June 25, 2009
UBS FINANCIAL SERVICES INC.
January 14, 2005 - October 6, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 14, 2005 - October 6, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 27, 1999 - January 19, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 4, 1999 - January 19, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 1988 - December 21, 1989
CITIGROUP GLOBAL MARKETS INC.
November 25, 1987 - September 22, 1988
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/17/2025)
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Exams
FINRA
Current Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFS OPCO LLC ("OPCO") | MEMBER | |
| ALEXANDER, MARK DAVID | PRINCIPAL OPERATIONS OFFICER | 2202934 |
| KOWALSKI, DEIRDRE PATTEN | PRINCIPAL FINANCIAL OFFICER | 1357509 |
| MIRZA, RIZWAN MOHAMMAD | CHIEF COMPLIANCE OFFICER | 5080469 |
| MORIARTY, EDMOND NICHOLAS | CO-CHIEF EXECUTIVE OFFICER | 1744318 |
| OUTLAW, MICHAEL WAYNE | CO-CHIEF EXECUTIVE OFFICER | 2760690 |
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
