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 |
|---|---|---|---|---|---|---|---|---|
| Ross Beardslee Levine | 4285637 | 1 | 06/17/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Teddy R Ezzell | 1527524 | 2 | 02/08/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joshua Paul Renfro | 5774724 | 1 | 02/08/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Marvin Kuhn | 2048767 | 2 | 01/24/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Sterling Madden | 1597397 | 2 | 07/25/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Trent Dana Bryson | 4079384 | 1 | 06/13/2023 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| Jennifer Suzette Frick | 2626107 | 2 | 11/20/2022 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Alec Herbert | 6580572 | 1 | 01/11/2022 | Customer Dispute | Closed-No Action | $20,793.90 | $0.00 | See FINRA Report |
| John Patrick Milo | 1824688 | 6 | 05/19/2021 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| John Patrick Milo | 1824688 | 6 | 05/18/2021 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |