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 |
|---|---|---|---|---|---|---|---|---|
| Elmer Eugene Martin | 1678232 | 1 | 11/05/2008 | Customer Dispute | Denied | $83,000.00 | $0.00 | See FINRA Report |
| Gehret Davis Shemeld | 702482 | 1 | 10/09/2008 | Customer Dispute | Settled | $0.00 | $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 |
| James D Sandfort | 4538818 | 1 | 08/24/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael P Wallace | 4367907 | 2 | 08/07/2008 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew T Langhorst | 4190295 | 1 | 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 |
| Andrew Swedlund | 4562184 | 1 | 04/07/2008 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |