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 |
|---|---|---|---|---|---|---|---|---|
| Hunter Steven Hamm | 4435104 | 1 | 09/10/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Coley Patrick Cassidy | 2705751 | 2 | 02/24/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Coley Patrick Cassidy | 2705751 | 2 | 02/24/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John William Sheehan | 1341640 | 2 | 02/08/2012 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Richard Harris Bergman | 2826654 | 1 | 12/13/2011 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| John Marshall Duane | 722927 | 4 | 10/13/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Pedro Jaime Marti | 4743730 | 1 | 10/03/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Arthur Goodall Alexander | 2696 | 1 | 08/26/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nelson Frederick Faro | 1247444 | 7 | 07/09/2010 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Ann R Wang | 4768787 | 3 | 06/10/2010 | Customer Dispute | Denied | $67,101.00 | $0.00 | See FINRA Report |