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 |
|---|---|---|---|---|---|---|---|---|
| Benedict Heeboem Lee | 6415532 | 6 | 01/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Leo Beck | 6120403 | 9 | 01/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wayne Joseph Pfeiffer | 2589424 | 2 | 01/15/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ken Hara | 5015038 | 2 | 01/14/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Carlos Venegas | 1194311 | 3 | 01/14/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Weins | 6188709 | 2 | 01/11/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Montserrat Deyanira Mendez Prudente | 7543358 | 1 | 01/05/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brock Weston Sherwood | 5894667 | 4 | 01/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lusha Liu | 5649550 | 2 | 12/31/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Adrian Peter Caspar | 6451986 | 2 | 12/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |