Dean C. Turner
ROCKEFELLER CAPITAL MANAGEMENT | Private Wealth Manager
Chicago, IL 60606
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CRD#: 6070346
Professional summary
Dean Charles Turner JR, CFP®, who also goes by Dean Charles Turner, is a registered financial advisor currently at ROCKEFELLER CAPITAL MANAGEMENT located in Chicago, Illinois and ROCKEFELLER FINANCIAL LLC located in Chicago, Illinois.
Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Dean has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Estate Planning
Retirement Planning
Insurance Planning
Investment Planning
What is your minimum asset requirement?
5M
Are you a "fiduciary"?
Yes
Aliases
Dean Charles Turner
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 Dean Charles Turner JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dean Charles Turner JR'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®
CFP®
Start date: 2016
Experience
Current
April 17, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 227 West Monroe, Suite 2050, Chicago, IL 60606RIA
CRD#: 294197
Chicago, IL
Current
April 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 222 West Adams Suite 2450, Chicago, IL 60606RIA
BD
CRD#: 291361
Chicago, IL
Current
April 17, 2025 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 222 West Adams Suite 2450, Chicago, IL 60606RIA
BD
CRD#: 291361
Chicago, IL
Past
March 19, 2015 - April 21, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHICAGO, IL
Past
March 19, 2015 - April 21, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHICAGO, IL
Past
July 25, 2013 - March 10, 2015
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
OAKBROOK TERRACE, IL
Past
July 25, 2013 - March 10, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
OAKBROOK TERRACE, IL
Past
March 6, 2013 - June 28, 2013
MIDWESTERN SECURITIES TRADING COMPANY, LLC
RIA
CRD#: 101080
EAST PEORIA, IL
Past
September 11, 2012 - June 28, 2013
MIDWESTERN SECURITIES TRADING COMPANY, LLC
BD
CRD#: 101080
EAST PEORIA, IL
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(4/17/2025)
RR
Arizona(4/17/2025)
RR
California(4/17/2025)
RR
Colorado(4/17/2025)
RR
Connecticut(4/17/2025)
RR
Delaware(4/17/2025)
RR
Florida(4/17/2025)
RR
Georgia(4/17/2025)
RR
Illinois(4/17/2025)
IAR
Illinois(4/17/2025)
RR
Indiana(4/17/2025)
RR
Michigan(4/17/2025)
RR
Minnesota(4/17/2025)
RR
Missouri(4/17/2025)
RR
Nevada(4/17/2025)
RR
New Jersey(4/17/2025)
RR
New York(4/17/2025)
RR
North Carolina(4/17/2025)
RR
Ohio(4/17/2025)
RR
Puerto Rico(4/17/2025)
RR
Tennessee(4/17/2025)
RR
Texas(4/17/2025)
IAR
Texas(4/17/2025)
RR
Washington(4/17/2025)
RR
Wisconsin(4/17/2025)
RR
Wyoming(4/17/2025)
Exams
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
Private Wealth ManagerCRD#: 291361Chicago, IL 60606TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
