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 |
|---|---|---|---|---|---|---|---|---|
| Heather Jeter Reich | 7041004 | 1 | 09/26/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Taylor Logan Patrone | 6854524 | 3 | 06/09/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Taylor Logan Patrone | 6854524 | 3 | 05/19/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Taylor Logan Patrone | 6854524 | 3 | 04/22/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandy Tran | 6475412 | 3 | 04/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandy Tran | 6475412 | 3 | 03/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latoya Bagwell | 5593734 | 1 | 01/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Francis Smith | 1397389 | 5 | 07/30/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Francis Smith | 1397389 | 5 | 06/05/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Francis Smith | 1397389 | 5 | 05/30/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |