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 |
|---|---|---|---|---|---|---|---|---|
| Kristy H Nicol | 2778038 | 3 | 09/28/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Vito Cedro | 2930533 | 1 | 09/21/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Julie Renee Owen | 4969206 | 1 | 09/07/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott David Ziska | 2631274 | 2 | 08/13/2007 | Customer Dispute | Closed-No Action | $20,124.90 | $0.00 | See FINRA Report |
| Steven Louis Cavagnaro | 2547990 | 3 | 08/07/2007 | Customer Dispute | Closed-No Action | $5,500.00 | $0.00 | See FINRA Report |
| Mark Alan Steen | 2360860 | 5 | 07/30/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Nathan W.D Spohn | 4622595 | 1 | 06/07/2007 | Customer Dispute | Closed-No Action | $12,000.00 | $0.00 | See FINRA Report |
| Christopher Joseph Davis | 2744716 | 2 | 05/29/2007 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Nicky Lee Miller | 4700482 | 1 | 04/28/2007 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Mark Bredin | 815422 | 1 | 04/12/2007 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |