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 |
|---|---|---|---|---|---|---|---|---|
| Arthur Goodall Alexander | 2696 | 1 | 08/26/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Hunter Harvey | 2390593 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gehret Davis Shemeld | 702482 | 1 | 10/09/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew T Langhorst | 4190295 | 2 | 07/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Justin Pace Ryan | 4365276 | 1 | 05/21/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wyatt R Larsen | 3128120 | 1 | 04/15/2008 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Frederick Donald Farnsworth | 732525 | 1 | 01/25/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Terri B Ucci | 2006712 | 1 | 05/15/2006 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Tramontano | 2801113 | 4 | 02/28/2003 | Customer Dispute | Settled | $153,101.00 | $0.00 | See FINRA Report |
| Brett Douglas Thelander | 2446984 | 1 | 07/07/1999 | Customer Dispute | Settled | $28,055.80 | $0.00 | See FINRA Report |