Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

ROCKEFELLER FINANCIAL LLC
291361
CHARLES HARTFORD
5707853
ROCKEFELLER FINANCIAL LLC
291361
CHARLES W. HARTFORD
5707853
ROCKEFELLER FINANCIAL LLC
291361
CHARLES W. HARTFORD
5707853
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2025-07-28
D/A
$11,791,593.00
Yes
$0.00
No
2025-06-10
D/A
$11,791,593.00
Yes
$0.00
No
2025-05-27
D/A
$11,791,593.00
Yes
$0.00
No
2025-05-12
D/A
$11,791,593.00
Yes
$0.00
No
2025-04-29
D/A
$11,791,593.00
Yes
$0.00
No
2025-04-15
D/A
$11,791,593.00
Yes
$0.00
No
2025-02-11
D/A
$11,047,052.00
Yes
$0.00
No
2025-01-27
D/A
$11,047,052.00
Yes
$0.00
No
2025-01-07
D/A
$11,047,052.00
Yes
$0.00
No
2024-08-27
D/A
$4,195,208.00
Yes
$0.00
No
2024-08-27
D/A
$4,195,208.00
Yes
$0.00
No
2024-07-22
D/A
$4,195,208.00
Yes
$0.00
No
2024-07-22
D/A
$4,195,208.00
Yes
$0.00
No
2024-06-25
D/A
$4,195,208.00
Yes
$0.00
No
2024-06-25
D/A
$4,195,208.00
Yes
$0.00
No
2024-06-11
D/A
$4,195,208.00
Yes
$0.00
No
2024-06-11
D/A
$4,195,208.00
Yes
$0.00
No
2024-05-22
D/A
$4,195,208.00
Yes
$0.00
No
2024-05-22
D/A
$4,195,208.00
Yes
$0.00
No
2024-05-07
D/A
$4,195,208.00
Yes
$0.00
No
2024-05-07
D/A
$4,195,208.00
Yes
$0.00
No