Haselkorn & Thibaut has opened an independent investigation into Steve White (CRD# 3052632), a Financial Advisor at Rockefeller Financial in Los Angeles, California. Investors who have worked with Steve White—or who may presently hold accounts with him—are encouraged to read this comprehensive overview and consider a free, confidential consultation.
Who Is Steve White (Rockefeller Financial, Los Angeles, CA)?
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Steve White is a highly experienced financial professional, currently registered as both a broker with Rockefeller Financial and an investment advisor with Rockefeller Capital Management, based in Los Angeles, California. His career spans more than 27 years in the financial industry. Over this time, he has also held positions at respected firms such as UBS Financial Services, Lehman Brothers, Deutsche Bank Securities, DB Alex Brown, and Merrill Lynch.
As of the latest public filings and regulatory checks, Steve White holds 27 active state licenses and has passed critical industry exams including the Securities Industry Essentials (SIE), General Securities Representative (Series 7), and Uniform Combined State Law Exam (Series 66).
Current Status & Professional Background
- Current Registration: Broker with Rockefeller Financial (since 2021)
- Investment Advisory: Representative of Rockefeller Capital Management
- Prior Registrations: UBS Financial Services and other leading firms
According to FINRA’s BrokerCheck (CRD# 3052632), as of mid-2024, Steve White’s record did not indicate any customer complaints, arbitrations, regulatory investigations, or actions from the SEC or state securities regulators. See Steve White’s current BrokerCheck profile.
Recent Developments: 2025 Complaint Filed
In December 2025, an investor complaint was filed against Steve White stemming from his time at UBS Financial Services. This pending dispute alleges:
- Failure to act in the customer’s best interest
- Recommendations of unsuitable investments
- Misrepresentations of material facts
- Failure to disclose outside business activities as required by FINRA
The complaint is currently unresolved and seeks at least $5,000 in damages. It is important to note that all complaints are allegations until proven and may be subject to further regulatory review or resolution.
What Are Unsuitable Investments & Misrepresentation?
Unsuitable investment recommendations are those that do not fit an investor’s goals, risk tolerance, or financial situation. According to industry regulations, advisors like Mr. White must understand their clients’ needs and only recommend investments that are appropriate. Failure in this duty is a serious breach of fiduciary responsibility.
Misrepresentation of material facts refers to providing incomplete or inaccurate information about investments. Under FINRA Rule 2020, advisors must not use manipulative, deceptive, or fraudulent tactics. If clients lose money because of such actions, they may have valid grounds to recover losses.
Outside Business Activities (FINRA Rule 3270)
FINRA Rule 3270 prohibits registered advisors from engaging in business activities not fully disclosed and approved by their member firm. Failure to follow this rule may prompt internal disciplinary actions or become a basis for investor-initiated claims.
Summary Table: Steve White’s Public Disclosures & Complaints
| Category | Details |
|---|---|
| Customer Complaints | 1 pending (filed Dec 2025; relates to UBS tenure; unsuitability, misrepresentation, outside business activities) |
| Arbitrations/Lawsuits | None prior to the 2025 complaint |
| Regulatory Actions | None reported |
| Criminal/Civil Judgments | None reported |
Potential Red Flags for Investors
- Alleged unsuitable recommendations
- Possible misrepresentation of facts
- Pending unresolved investor complaint
- Questions about outside business activities disclosures
While a single allegation does not prove improper conduct, any investor who has suffered losses or has concerns should seek independent legal review.
How Can Investors Protect Themselves?
If you invested with Steve White (Rockefeller Financial, Los Angeles), especially during his tenure at UBS Financial Services—or if you have questions about your portfolio’s performance or disclosures—you have the right to ask questions and pursue your options.
Your Next Steps: Contact Haselkorn & Thibaut
Haselkorn & Thibaut is a nationwide securities fraud law firm with over 50 years of combined experience, a 98% success rate, and millions recovered for clients. If you are concerned about your investments—or if you have experienced losses associated with Steve White (CRD 3052632) or Rockefeller Financial—we encourage you to seek a free and private consultation. Our “No recovery, no fee” promise ensures you never pay out of pocket for our review.
Request Your Free Consultation Today
- Call Haselkorn & Thibaut: 1-888-885-7162
- Free, confidential, and with no obligation
Your financial future is important. If you have questions or need help understanding your rights and potential recovery options, contact Haselkorn & Thibaut today. The initial consultation is always free—and your peace of mind is our top priority.
