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 |
|---|---|---|---|---|---|---|---|---|
| Roy Joseph Cyprian | 2082341 | 4 | 10/21/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Mark Coffey | 6183542 | 1 | 10/05/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wayne Joseph Pfeiffer | 2589424 | 2 | 10/01/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dale Edward Swanzer | 2843050 | 9 | 09/04/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dale Edward Swanzer | 2843050 | 9 | 09/03/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dale Edward Swanzer | 2843050 | 9 | 08/26/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ralph Wayne Damren | 60462 | 14 | 06/16/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Behzad Shaffiy | 1078324 | 2 | 02/21/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jan Jeffery Williams | 2952410 | 4 | 01/22/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ralph Wayne Damren | 60462 | 14 | 10/04/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |