HB
Heather L. Brown
ROCKEFELLER FINANCIAL LLC
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 2546484
HB
Professional summary
Heather Lynn Brown, who also goes by Heather Brown, Heather Lynn Dukes, Heather Dukes, Heather Lynn Semple, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Dallas, Texas.
Heather is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Heather has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Heather Brown | Heather Lynn Dukes | Heather Dukes | Heather Lynn Semple
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 Heather Lynn Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Heather Lynn Brown'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 5, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 Crescent Court Suite 1450, Dallas, TX 75201RIA
BD
CRD#: 291361
Dallas, TX
Current
December 5, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 Crescent Court Suite 1450, Dallas, TX 75201RIA
BD
CRD#: 291361
Dallas, TX
Past
November 13, 2015 - December 24, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DALLAS, TX
Past
November 13, 2015 - December 24, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
DALLAS, TX
Past
April 18, 2012 - December 8, 2015
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
DALLAS, TX
Past
March 5, 2012 - December 8, 2015
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
DALLAS, TX
Past
August 2, 2010 - April 24, 2012
CHAPWOOD CAPITAL INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 138524
ADDISON, TX
Past
August 5, 2005 - August 13, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
DALLAS, TX
Past
August 5, 2005 - August 13, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
DALLAS, TX
Past
November 20, 1996 - August 9, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
DALLAS, TX
Past
September 13, 1996 - August 9, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
Alabama(1/2/2026)
RR
Arizona(12/17/2025)
RR
California(12/18/2025)
RR
Colorado(12/9/2025)
RR
Delaware(12/9/2025)
RR
Florida(12/9/2025)
RR
Georgia(1/29/2026)
RR
Illinois(12/9/2025)
RR
Kansas(12/16/2025)
RR
Kentucky(1/5/2026)
RR
Louisiana(1/5/2026)
RR
Massachusetts(12/8/2025)
RR
Minnesota(1/2/2026)
RR
Mississippi(12/12/2025)
RR
Missouri(12/8/2025)
RR
Nebraska(12/8/2025)
RR
Nevada(12/10/2025)
RR
New Mexico(12/9/2025)
RR
New York(12/9/2025)
RR
North Carolina(1/6/2026)
RR
Ohio(12/8/2025)
RR
Oklahoma(12/10/2025)
RR
Oregon(12/5/2025)
RR
South Carolina(12/10/2025)
RR
Tennessee(12/9/2025)
IAR
Texas(12/5/2025)
RR
Texas(12/8/2025)
RR
Utah(12/8/2025)
RR
Virginia(1/2/2026)
RR
Wyoming(12/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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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