Dfk Financial — MELVILLE, NY
Marketing BrandDFK FINANCIAL takes a hands-on approach, working together with our clients ... Melville, NY 11747. California Insurance License #0C84683. mike ... Operating under EQUITABLE ADVISORS, LLC (CRD #6627).
Why This Matters
A marketing brand is the name a financial advisor uses with clients. It is often different from the SEC-registered firm that is legally responsible for their conduct and your money.
When you search for “Dfk Financial,” you won't find it on the SEC or FINRA websites. That's because the regulatory entity is EQUITABLE ADVISORS, LLC. Any disclosures, complaints, or regulatory actions are filed under the firm — not the brand.
Source: SEC Form ADV filings and FINRA BrokerCheck
The Relationship
EQUITABLE ADVISORS, LLC
CRD 6627 · Dual
Brand Information
Inherited Transparency Score
Marketing brands inherit the transparency score of their registered parent firm. This score is not specific to Dfk Financial — it reflects the regulatory profile of EQUITABLE ADVISORS, LLC.
What This Means
The firm behind this brand has notable transparency gaps in their regulatory filings. We recommend reviewing the firm's fee structure and conflict disclosures before making decisions.
This places them in the 1th percentile of all scored firms.
This firm's regulatory filings leave significant questions unanswered. Review the full firm profile — including its fee structure and conflict disclosures — before making decisions.
See full score breakdownRegulatory Context
Regulatory oversight is under EQUITABLE ADVISORS, LLC
Any complaints, disclosures, or disciplinary actions are filed against the registered firm — not the marketing brand. Always check the firm's record, not just the brand name.
1 of 5,429 firm advisors use this brand
EQUITABLE ADVISORS, LLC has 5,429 total registered advisors. Only 1 operates under the Dfk Financial brand name.
Verify before you trust
A polished brand name doesn't guarantee quality advice. Check the firm's full regulatory profile and each advisor's individual score before making decisions.
Advisors Under This Brand(1)
These advisors use the Dfk Financial brand name with their clients. Each has their own individual transparency score based on their personal regulatory record.