Heather Lynn Brown

Employer firm

Rockefeller Financial LLC CRD 291361

$99.6B regulatory AUM 223 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2015 → 12/2025
  Ubs Financial Services Inc
  Dallas, TX
• 12/2025 → Present
  Rockefeller Financial Llc
  Dallas, TX

Previous Registrations

• 2015-11-13 → 2025-12-24
  Ubs Financial Services Inc.
  Dallas, TX
• 2012-03-05 → 2015-12-08
  Credit Suisse Securities (Usa) Llc
  Dallas, TX
• 2010-08-02 → 2012-04-24
  Chapwood Capital Investment Management, Llc
  Plano, TX
• 2005-08-05 → 2008-08-13
  Lehman Brothers Inc.
  Dallas, TX
  Dallas, TX
• 1996-11-20 → 2005-08-09
  Morgan Stanley Dw Inc.
  Dallas, TX

Exams

• S63 Uniform Securities Agent State Law Examination
  2012-05-25
• S65 Uniform Investment Adviser Law Examination
  1996-10-17

Other Names

• Heather Dukes
• Heather Lynn Dukes
• Heather Lynn Semple
• Heather Brown