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 Enrique Riera-Figueroa | 2284608 | 1 | 08/03/2013 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Thomas Edward Shisler | 2756044 | 1 | 07/25/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Melvin Herman Ursin Jr | 1003918 | 3 | 07/23/2013 | Customer Dispute | Denied | $28,149.00 | $0.00 | See FINRA Report |
| Kannan Mandayam Jayaram | 1210450 | 1 | 07/22/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dale Edward Swanzer | 2843050 | 9 | 07/22/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tom Person Bardin | 736374 | 1 | 07/05/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Kelly | 1360285 | 4 | 07/03/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wilton Rodwell Drake | 2536804 | 2 | 06/24/2013 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Christopher John Kelly | 4733304 | 1 | 06/11/2013 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Stephen Kenneth Powell | 2201224 | 2 | 06/10/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |