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 |
|---|---|---|---|---|---|---|---|---|
| Arthur Goodall Alexander | 2696 | 1 | 08/26/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nelson Frederick Faro | 1247444 | 7 | 07/09/2010 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Ann R Wang | 4768787 | 3 | 06/10/2010 | Customer Dispute | Denied | $67,101.00 | $0.00 | See FINRA Report |
| James Allen McKenzie | 3114262 | 1 | 06/09/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Andres Zilveti | 4422642 | 1 | 05/19/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Ann R Wang | 4768787 | 3 | 03/31/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Laurence Heimburg Knowlton | 1383052 | 2 | 07/27/2009 | Customer Dispute | Award / Judgment | $4,200,000.00 | $2,500.00 | See FINRA Report |
| Forrest Michael Faro | 4229588 | 1 | 06/30/2009 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Nelson Frederick Faro | 1247444 | 7 | 06/30/2009 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Jeffrey Hunter Harvey | 2390593 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |