Maureen Johanna Dodd
Professional Summary
Maureen Johanna Dodd, who also goes by Maureen Johanna Dodd, Maureen Dodd, Maureen J Woods, Maureen Johanna Woods, Maureen Woods, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Cincinnati, Ohio. Maureen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Maureen has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Maureen Johanna Dodd, Maureen Dodd, Maureen J Woods, Maureen Johanna Woods, Maureen Woods
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
17 years in the financial services industry
Current & Past Employments
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Current Firm
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
Contact Information
Main Address
45 Rockefeller Plaza Floor 5, New York, NY 10111Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111Phone Number
(212) 549-5100Established
Delaware since 10/20/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
1,005SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
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
95,368AUM (Assets Under Management)
$99,603,487,232Disclosures
Regulatory Event
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | Cover Page | Report |
| 08/26/2024 | Cover Page | Report |
| 09/27/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
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Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Maureen Johanna Dodd's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Maureen Johanna Dodd's CRS (Customer Relationship Summary).
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