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 |
|---|---|---|---|---|---|---|---|---|
| James Tapia | 2345038 | 2 | 07/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Robert Ellis | 4620460 | 1 | 07/08/2015 | Customer Dispute | Denied | $5,375.69 | $0.00 | See FINRA Report |
| Michael Harry Bassett | 4843210 | 2 | 07/02/2015 | Customer Dispute | Settled | $12,889.80 | $0.00 | See FINRA Report |
| Frances Patricia Orellana | 5661024 | 4 | 06/23/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Robert Ranick | 7668182 | 1 | 06/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shahryar Kashanchi | 1351829 | 3 | 05/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Arnold Frank | 709916 | 10 | 05/23/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dave Terrance Forde | 4267737 | 1 | 05/19/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ehsan Safavi | 5353542 | 3 | 05/18/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sung Jin Cho | 2044180 | 9 | 05/18/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |