Robert L. Bungenstock
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Louis Bungenstock, who also goes by Bob Bungenstock, Bobby Bungenstock, Robert L Bungenstock, Robert Louis Bungenstock Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2019 - August 20, 2021
ROCKEFELLER FINANCIAL LLC
November 15, 2017 - December 5, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
June 8, 2016 - November 3, 2017
KALOS CAPITAL, INC.
May 21, 2003 - January 29, 2016
J.P. TURNER & COMPANY, L.L.C.
February 6, 2001 - July 8, 2002
E*TRADE SECURITIES LLC
May 9, 2000 - November 2, 2000
TD AMERITRADE, INC.
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 7/19/2022
General Securities Representative ExaminationCurrent Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
