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 |
|---|---|---|---|---|---|---|---|---|
| Vishal Vibhaker Patel | 4619657 | 3 | 12/16/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Wesley Hawkins | 1401455 | 3 | 12/16/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jan Jeffery Williams | 2952410 | 4 | 12/15/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dale Edward Swanzer | 2843050 | 9 | 12/10/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frances Patricia Orellana | 5661024 | 4 | 12/09/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael H Sendowski | 1782114 | 2 | 12/02/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dale Edward Swanzer | 2843050 | 9 | 12/02/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rebekah Anne Carlson | 7169886 | 3 | 11/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Lawrence Kearney | 2909067 | 3 | 11/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kayla Tessmer | 7862672 | 1 | 11/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |