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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Robert Wright | 6344931 | 1 | 07/29/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marc E Laborde | 4975479 | 14 | 04/07/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Francis Xavier Amsler | 2526813 | 14 | 04/07/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Edward Denton | 2529226 | 8 | 12/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Edward Denton | 2529226 | 8 | 06/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Edward Denton | 2529226 | 8 | 02/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Edward Denton | 2529226 | 8 | 01/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Danielle Nicole Santerre | 4256168 | 1 | 10/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Edward Denton | 2529226 | 8 | 07/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Edward Denton | 2529226 | 8 | 04/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |