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 |
|---|---|---|---|---|---|---|---|---|
| Larry John Vawter | 1902056 | 1 | 08/21/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Matthew Paul Noll | 4288575 | 1 | 08/15/2008 | Customer Dispute | Closed-No Action | $10,890.50 | $0.00 | See FINRA Report |
| Todd Ferrell Shiver | 4170164 | 1 | 07/24/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Robert Hugh Lau | 4246319 | 1 | 06/12/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alexander Gregory Elkin | 4746568 | 1 | 06/03/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Albert Gonzalez | 2123952 | 2 | 05/15/2008 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Andrew David Campbell | 4855596 | 1 | 05/14/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher Jon Davis | 3016367 | 2 | 05/13/2008 | Customer Dispute | Closed-No Action | $91,400.00 | $0.00 | See FINRA Report |
| Charles Timothy Owens | 2703898 | 6 | 04/30/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Michael Eddie Carter | 2683655 | 3 | 04/24/2008 | Customer Dispute | Closed-No Action | $5,743.91 | $0.00 | See FINRA Report |