MF
Mark C. French
ROCKEFELLER FINANCIAL LLC
Dallas, TX 75201
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CRD#: 1829901
MF
Professional summary
Mark Clifford French is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Dallas, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Mark has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Clifford French's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Clifford French's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 3, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 Crescent Court Suite 1450, Dallas, TX 75201Office #2: 9950 Woodloch Forest Tower 4th Floor, The Woodlands, TX, 77380RIA
BD
CRD#: 291361
Dallas, TX
Current
December 3, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 Crescent Court Suite 1450, Dallas, TX 75201Office #2: 9950 Woodloch Forest Tower 4th Floor, The Woodlands, TX, 77380RIA
BD
CRD#: 291361
Dallas, TX
Past
September 21, 2021 - December 17, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
DALLAS, TX
Past
September 21, 2021 - December 17, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
DALLAS, TX
Past
March 21, 2016 - October 21, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FRISCO, TX
Past
March 21, 2016 - October 21, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FRISCO, TX
Past
December 11, 2008 - March 30, 2016
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PLANO, TX
Past
December 11, 2008 - March 30, 2016
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PLANO, TX
Past
February 25, 2005 - December 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GERMANTOWN, TN
Past
February 25, 2005 - December 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GERMANTOWN, TN
Past
July 1, 2003 - February 28, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MEMPHIS, TN
Past
July 1, 2003 - February 28, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
November 17, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
MEMPHIS, TN
Past
November 17, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 3, 1995 - November 30, 2000
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/3/2025)
RR
Arkansas(12/3/2025)
RR
California(12/3/2025)
RR
Colorado(12/3/2025)
RR
Connecticut(12/3/2025)
RR
Florida(12/3/2025)
RR
Georgia(12/18/2025)
RR
Hawaii(2/5/2026)
RR
Illinois(12/11/2025)
RR
Indiana(12/3/2025)
RR
Louisiana(12/3/2025)
RR
Mississippi(12/3/2025)
RR
Missouri(12/3/2025)
RR
Nevada(12/3/2025)
RR
New York(12/3/2025)
RR
North Carolina(12/3/2025)
RR
Ohio(1/2/2026)
RR
Oklahoma(12/3/2025)
RR
Oregon(12/3/2025)
RR
Pennsylvania(12/3/2025)
RR
South Carolina(12/3/2025)
RR
Tennessee(12/3/2025)
RR
Texas(12/3/2025)
IAR
Texas(12/3/2025)
RR
Utah(12/3/2025)
RR
Virginia(12/3/2025)
RR
Washington(12/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Phone number
(212) 549-5100
Established
Delaware since 10/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
824
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.
Company Information
ROCKEFELLER FINANCIAL LLC
CRD#: 291361Dallas, TX 75201TRUST BUT VERIFY
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