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Ulku Dogan

Rockefeller Financial LLC

Los Angeles, CA

Walnut Creek, CA

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-07-29
TX RA APPROVED 2019-07-26
  • CA RA
    APPROVED
    Since 2019-07-29
  • TX RA
    APPROVED
    Since 2019-07-26

Branch Locations

1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States

1850 Mt Diablo Boulevard - Suite 300, Walnut Creek, CA 94596 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc San Francisco CA 08/2014 11/2016
Wells Fargo Clearing Services, Llc San Francisco CA 11/2016 07/2019
Rockefeller Financial Llc San Francisco CA 07/2019 Present
Rock & Co Llc San Francisco CA 07/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-02-13
S63 Uniform Securities Agent State Law Examination 2006-02-10
  • S66 Uniform Combined State Law Examination
    2014-02-13
  • S63 Uniform Securities Agent State Law Examination
    2006-02-10
Other Names
  • Ulku Barrett
  • Ulku Grosso
  • Ulku D Grosso

View on SEC IAPD

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