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 |
|---|---|---|---|---|---|---|---|---|
| Jose Luis Castillo | 3091302 | 3 | 10/09/2014 | Customer Dispute | Settled | $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 | |
| Frances Patricia Orellana | 5661024 | 4 | 09/30/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Evan Klein | 5060520 | 5 | 09/29/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert James Spagiare | 711769 | 1 | 09/26/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David A Means | 5633718 | 2 | 09/26/2014 | Customer Dispute | Denied | $32,787.00 | $0.00 | See FINRA Report |
| Michael Ray Ramos | 6975152 | 1 | 09/22/2014 | Financial | Final | $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 |