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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Swedlund | 4562184 | 1 | 04/07/2008 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Shawn Davin Moore | 5036431 | 1 | 03/17/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Marshall Duane | 722927 | 4 | 03/07/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Edward Denton | 2529226 | 8 | 04/13/2007 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Frederick Donald Farnsworth | 732525 | 1 | 01/25/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Terri B Ucci | 2006712 | 1 | 05/15/2006 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |
| Robert Lewis Moon | 2431875 | 1 | 03/27/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael J Fieler | 2415266 | 1 | 08/15/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donis Noe Smith | 2642349 | 1 | 02/07/2005 | Customer Dispute | Denied | $134,000.00 | $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 |