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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Taylor Barden | 4323859 | 1 | 07/09/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Robert Farr | 5991848 | 1 | 01/25/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Bellinger Lewis | 1828788 | 2 | 05/10/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brett Allen Howell | 4157822 | 1 | 01/05/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cheryl Lynn Young | 3065471 | 4 | 05/03/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Winthrop Claghorn | 47204 | 1 | 04/27/2022 | Customer Dispute | Denied | $112,583.00 | $0.00 | See FINRA Report |
| Marc E Laborde | 4975479 | 14 | 11/04/2020 | Customer Dispute | Denied | $1,775,430.00 | $0.00 | See FINRA Report |
| Francis Xavier Amsler | 2526813 | 14 | 11/04/2020 | Customer Dispute | Denied | $1,775,430.00 | $0.00 | See FINRA Report |
| Marc E Laborde | 4975479 | 14 | 04/07/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Francis Xavier Amsler | 2526813 | 14 | 04/07/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |