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 |
|---|---|---|---|---|---|---|---|---|
| Edward Joseph Wilson | 815142 | 2 | 01/03/2006 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Gregory Anton Huck | 2161832 | 2 | 12/21/2005 | Customer Dispute | Closed-No Action | $135,894.00 | $0.00 | See FINRA Report |
| Kristi Baker Ellington | 2393426 | 2 | 12/12/2005 | Customer Dispute | Closed-No Action | $5,717.00 | $0.00 | See FINRA Report |
| Jose Veliz | 2438883 | 1 | 11/18/2005 | Customer Dispute | Closed-No Action | $85,000.00 | $0.00 | See FINRA Report |
| Rick Dean Stone | 2800541 | 3 | 10/06/2005 | Customer Dispute | Closed-No Action | $285.00 | $0.00 | See FINRA Report |
| Bradly Edward Tharp | 2014715 | 5 | 09/20/2005 | Customer Dispute | Closed-No Action | $6,972.00 | $0.00 | See FINRA Report |
| David Francis Bedard | 1733740 | 2 | 09/12/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Valerie Marie Mitchell | 2468971 | 2 | 08/05/2005 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Roger Braun Adler | 3060768 | 1 | 07/27/2005 | Customer Dispute | Closed-No Action | $130,614.00 | $0.00 | See FINRA Report |
| Clyde Clifton Allen | 2609987 | 1 | 07/26/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |