Lott Townsend Rogers Jr.

LPL FINANCIAL LLC

BRENHAM, TX · CRD#

OSAIC WEALTH, INC.

HELENA, MT · CRD#

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

23 years registered in the securities industry

Current & Past Employments

Past

EQUITABLE ADVISORS, LLCPast·CRD# 6627

RIA

Halifax, VA

February 26, 2003 - November 27, 2023

EQUITABLE ADVISORS, LLCPast·CRD# 6627

BD

Halifax, VA

February 13, 2003 - November 27, 2023

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Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Current Firm

EQUITABLE ADVISORS, LLC

CRD#: 6627 / SEC#: 801-14065, 8-17883

RIA

Registered Investment Advisory firm - SEC (9/22/1978 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Contact Information

Main Address

1345 Avenue Of The Americas, New York, NY 10105

Mailing Address

1345 Avenue Of The Americas 3rd Floor, New York, NY 10105

Phone Number

(212) 314-4600

Established

Delaware since 07/19/1999

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

# of Employees

5,674

SEC notice filing (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

Documents

Part 2 Brochures

EQUITABLE ADVISORS, LLC PART 2A (9/30/2026)

Direct owners and executive officers

Name	Position	CRD#
EQUITABLE DISTRIBUTION HOLDING CORPORATION	MEMBER	—
BONADONNA, MARYJEAN ELIZABETH	VICE PRESIDENT, BUSINESS GOVERNANCE AND SUPERVISORY OVERSIGHT	3199562
BOYLAN, PATRICIA AGNES	CHIEF COMPLIANCE OFFICER	3231492
CANNON, CHRISTIAN JAMES	VICE PRESIDENT AND GENERAL COUNSEL	—
JONES, GINA MARIE	VICE PRESIDENT AND FINANCIAL CRIME OFFICER	—
KARR, DAVID WHITCOMB	CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER	1852445
KENNEDY, JOHN MICHAEL JR.	CHIEF PRIVACY OFFICER	—
LANE, NICHOLAS BURRITT	DIRECTOR	4994948
MASSA, FRANK ANGELO JR	PRESIDENT/DIRECTOR	2241858
MELLIN, JAMES PATRICK	CHIEF SALES OFFICER	1859557
SCAPPATOR, CANDACE LYNN	CONTROLLER/FINOP/PRINCIPAL FINANCIAL OFFICER	4697607
SMITH, JANE LYNN	ASSISTANT VICE PRESIDENT	2158938
TIAN, QI NING	DIRECTOR	6166914
ZHANG, YUN	DIRECTOR	7600833
ZIMMERER, TRACY	VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER	4275481

Regulatory Assets Under Management

Total Number of Accounts

99,022

AUM (Assets Under Management)

$47,255,793,924

Disclosures

Regulatory Event

26

Arbitration

11

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2026	Cover Page	Report
10/18/2024	Cover Page	Report
01/16/2024	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

CLARKSVILLE WATER SPORTS, HWY 58, CLARKSVILLE, VA, NEW AND USED BOAT SALES AND REPAIR, I DO NOT ACTIVELY PARTICIPATE IN THE DAY TO DAY MANAGEMENT OF THE BUSINESS, PART OWNER AND TREASURER, 03/2005, 2 HRS PER MONTH. CLARKSVILLE MOBILE MARINE, LLC, HWY 58, CLARKSVILLE, VA, PROPERTY OWNERSHIP, PART OWNER AND TREASURER, I DO NOT ACTIVELY PARTICIPATE IN THE DAY TO DAY MANAGEMENT OF THE OPERATION, 03/2005, 1 HR PER MONTH CLARKSVILLE MOBILE MARINE RENTAL, HWY 58, CLARKSVILLE, VA, BOAT RENTALS, PART OWNER AND TREASURER, I DO NOT TAKE AN ACTIVE ROLL IN THE DAY TO DAY MANAGEMENT OF THE OPERATION, 03/2005, 1 HR PER MONTH. FRIENDS OF SOCCER, COWFORD RD., HALIFAX, VA 24558, TREASURER, ATTEND BOARD MEETINGS, 06/2003, 0 HRS PER MONTH. MENTOR ROLE MODEL PROGRAM, OLD LEGGETT BUILDING, SOUTH BOSTON, VA, VICE PRESIDENT, HELP MANAGE THE DIRECTOR AND FILL IN DURING THE PRESIDENTS ABSENCE, 01/2013, 3 HRS PER MONTH. AS OF 9/2013, SERVES AS DIRECTOR/ BOARD MEMBER FOR THE INSTITUTE FOR ADVANCED LEARNING AND RESEARCH IN DANVILLE, VA. AS A BOARD MEMBER, ATTENDS BOARD MEETINGS ONCE PER QUARTER. 1 HOUR/MONTH. FAMILY FARM DILLON, SC. POSITION- FAMILY MEMBER. NO RESPONSIBILITIES START DATE 01/02/2000. 1 HR/MONTH $1200 YEARLY COMPENSATION. St John's Episcopal Church; 197 Mountain Rd , Halifax VA 24558; Church Committee member, 6/30/15, To help develop a cover letter, a Pledge Card and to review the investments maid by Edward Jones; CHECK SIGNER 9/1/2016; NO INVESTMENT ADVICE; Vestry Member and Jr. Warden; Attend Vestry Meetings where the direction of the church is discussed and voted on. As Jr. Warden I will be responsible for the up keep and Maintenance of the church; 02/05/2017; 5 HR/MONTH. 8/3/2018 - Institute for Advanced Learning IALR Danville, VA 5 hours per month - attend Board meetings and vote on any issues that should arise, will also be assigned to a committee and they will also have meetings. Has been on the Foundation board for several years and have now been appointed to the Institute Board. Both boards meet at the same time, in the same room. Appointed with Banner LIfe 05/27/2020 for Term Life, Universal Life and Group Life earning avg $100 annual

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