Our Staff has compiled our research into a database of FINRA Broker Disclosures for Equitable Advisors, 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 |
|---|---|---|---|---|---|---|---|---|
| Levant Miguel Bishop | 2665428 | 1 | 06/28/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Anthony de Gout | 4666057 | 1 | 07/17/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sara Urban | 2404688 | 4 | 08/16/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Scot Rothkopf | 1078335 | 2 | 06/10/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marisela Jasso | 5328372 | 1 | 11/20/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Lee Williams | 2068022 | 1 | 11/07/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roy Roland Shadbolt | 1623680 | 1 | 04/28/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frederick A. Ries | 4056469 | 1 | 09/06/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Norman Riley | 1857635 | 3 | 07/25/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Alexander McDonald | 3172062 | 1 | 03/17/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |