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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Michael Weins | 6188709 | 2 | 01/11/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Amy Jo Jenista | 2196828 | 1 | 10/22/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bruce Daniel Elliott | 1214553 | 2 | 10/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ken Hara | 5015038 | 2 | 10/02/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wayne Paul Cooper | 1394329 | 3 | 09/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ellen Gartner Brodkin | 2225351 | 1 | 08/22/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gardenia Leon Nickel | 2151654 | 4 | 08/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ralph Wayne Damren | 60462 | 14 | 07/29/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas L Thomas | 6886095 | 1 | 06/21/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Catha A Simons | 2732605 | 3 | 06/06/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |