Our Staff has compiled our research into a database of FINRA Broker Disclosures for LPL Financial 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 |
|---|---|---|---|---|---|---|---|---|
| Steven G Brettler | 4367351 | 2 | 01/31/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Robert Finnie | 2112495 | 5 | 01/26/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Altin Tirana | 4837498 | 3 | 01/23/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Colleen Eason | 4468573 | 4 | 01/12/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joanne Elizabeth Secky | 2434369 | 9 | 01/11/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joanne Elizabeth Secky | 2434369 | 9 | 01/11/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joanne Elizabeth Secky | 2434369 | 9 | 01/06/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert T Li | 4068255 | 3 | 01/06/2023 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Robert T Li | 4068255 | 3 | 01/05/2023 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Brian Victor Hsieh | 4966508 | 1 | 01/04/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |