Our Staff has compiled our research into a database of FINRA Broker Disclosures for Rockefeller Financial LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Coley Patrick Cassidy | 2705751 | 2 | 02/24/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Coley Patrick Cassidy | 2705751 | 2 | 02/24/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Harris Bergman | 2826654 | 1 | 12/13/2011 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Pedro Jaime Marti | 4743730 | 1 | 10/03/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Tramontano | 2801113 | 4 | 05/18/2004 | Customer Dispute | Closed-No Action | $33,810.00 | $0.00 | See FINRA Report |
| Cheryl Lynn Young | 3065471 | 4 | 02/23/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Gregory Hough Pollock | 1263242 | 3 | 10/03/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Marshall Duane | 722927 | 4 | 04/21/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven A Rosenberg | 2433286 | 1 | 03/23/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gregory Hough Pollock | 1263242 | 3 | 03/06/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |