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 |
|---|---|---|---|---|---|---|---|---|
| Alexandra Lebenthal | 1638099 | 2 | 06/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Clement Sprout | 5389704 | 1 | 04/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandy Tran | 6475412 | 1 | 07/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather Jeter Reich | 7041004 | 1 | 09/26/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Schuyler Quackenbush | 4823342 | 1 | 03/12/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick J Trucco | 2937240 | 1 | 07/01/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |