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 |
|---|---|---|---|---|---|---|---|---|
| Vernon Kim | 2373668 | 3 | 04/10/2007 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Suleiman S Dayeh | 2166230 | 2 | 04/06/2007 | Customer Dispute | Closed-No Action | $6,600.00 | $0.00 | See FINRA Report |
| Ronald Steven Barlow | 2604386 | 1 | 03/19/2007 | Customer Dispute | Closed-No Action | $32,950.00 | $0.00 | See FINRA Report |
| Xavier Marquezdelaplata | 2703126 | 3 | 03/15/2007 | Customer Dispute | Closed-No Action | $10,353.50 | $0.00 | See FINRA Report |
| James Hursel Williams | 1687805 | 2 | 02/16/2007 | Customer Dispute | Closed-No Action | $7,275.00 | $0.00 | See FINRA Report |
| Steven Shaotsung Chang | 4607814 | 2 | 02/08/2007 | Customer Dispute | Closed-No Action | $33,800.00 | $0.00 | See FINRA Report |
| Robert Curtis Leach | 2575366 | 1 | 12/18/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Amy Jo Townsend-Vanderpool | 4633333 | 1 | 08/29/2006 | Customer Dispute | Closed-No Action | $7,103.00 | $0.00 | See FINRA Report |
| Harmon Copeland Callen | 2709374 | 1 | 08/09/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Julie Elizabeth Sagatelian | 3026123 | 2 | 06/16/2006 | Customer Dispute | Closed-No Action | $5,204.00 | $0.00 | See FINRA Report |