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 |
|---|---|---|---|---|---|---|---|---|
| Peter John Clarke | 1400419 | 2 | 07/11/2023 | Customer Dispute | Pending | $6,300,000.00 | $0.00 | See FINRA Report |
| Sean Kennedy | 5755114 | 1 | 08/19/2022 | Customer Dispute | Pending | $1,900,000.00 | $0.00 | See FINRA Report |
| Michael P Wallace | 4367907 | 2 | 08/07/2008 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |