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 |
|---|---|---|---|---|---|---|---|---|
| Daryl Lee Christensen | 3199537 | 3 | 05/30/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stephen Frederick Lim | 1295868 | 7 | 03/24/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James William Barnett | 1308281 | 1 | 03/10/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Brown | 4163118 | 2 | 03/03/2006 | Customer Dispute | Closed-No Action | $1,350.00 | $0.00 | See FINRA Report |
| Daniel Brown | 4163118 | 2 | 03/03/2006 | Customer Dispute | Closed-No Action | $1,350.00 | $0.00 | See FINRA Report |
| David Glenn Smith | 4487032 | 2 | 02/13/2006 | Customer Dispute | Closed-No Action | $14,000.00 | $0.00 | See FINRA Report |
| Glen Kevin Sundberg | 2304142 | 1 | 02/10/2006 | Customer Dispute | Closed-No Action | $19,000.00 | $0.00 | See FINRA Report |
| Jorge Vergara | 2300348 | 3 | 02/06/2006 | Customer Dispute | Closed-No Action | $30,187.80 | $0.00 | See FINRA Report |
| Vernon Kim | 2373668 | 3 | 01/18/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Sheila Jones Sharpe | 2704624 | 1 | 01/09/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |