Dale Francis M. Gilkes
Professional summary
Dale Francis Mark Gilkes, who also goes by Dale Francis Mark Gilkes, Dale Francis Francis Mark Gilkes, is a registered financial professional currently at ROCKEFELLER FINANCIAL LLC located in New York, New York.
Dale Francis is registered as a RR (Registered Representative) and started their career in finance in 2007. Dale Francis has worked at 4 firms and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dale Francis Mark Gilkes's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 12, 2018 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza Floor 5, New York, NY 10111August 28, 2018 - March 29, 2019
AXIOM CAPITAL MANAGEMENT, INC.
February 10, 2012 - August 15, 2018
FCG ADVISORS, LLC
January 5, 2007 - April 16, 2010
NATIONAL FINANCIAL SERVICES LLC
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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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
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.
