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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| Eric B Hermanson | 5068884 | 2 | 12/15/2008 | Customer Dispute | Denied | $41,000.00 | $0.00 | See FINRA Report |
| Elmer Eugene Martin | 1678232 | 1 | 11/05/2008 | Customer Dispute | Denied | $83,000.00 | $0.00 | See FINRA Report |
| Kenneth Robert Crowley | 4061397 | 1 | 10/06/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward A Jeter | 4543912 | 1 | 09/18/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |