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 |
|---|---|---|---|---|---|---|---|---|
| Cody Andrew Klingensmith | 5863838 | 1 | 10/12/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Adam Rutkowski | 2044538 | 3 | 10/10/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John Michael Stack III | 2466680 | 3 | 10/03/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Taylor Kramer Herrin | 7668720 | 1 | 09/28/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Nicholas Mazzaferro | 6365856 | 5 | 09/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Howard Ginsburg | 5285236 | 1 | 09/16/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jamie Theresa Nowakowski | 4472043 | 2 | 09/06/2022 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Mary Kathryn Giardina | 7201977 | 1 | 09/05/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Robert Horney | 7067795 | 1 | 08/28/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ian Andrew Cook | 4970473 | 4 | 08/18/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |