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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Andrew Fox | 3183977 | 1 | 11/22/2004 | Customer Dispute | Closed-No Action | $33,779.10 | $0.00 | See FINRA Report |
| Carmen Joseph Pontelandolfo | 2007113 | 4 | 10/25/2004 | Customer Dispute | Closed-No Action | $11,175.80 | $0.00 | See FINRA Report |
| Cody George Mares | 1366616 | 1 | 09/30/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Evan Scott Hodson | 1905159 | 1 | 09/23/2004 | Customer Dispute | Closed-No Action | $270,000.00 | $0.00 | See FINRA Report |
| Peter Aloysius Beronio | 723447 | 2 | 09/15/2004 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Mary Lynnette Jones | 1708492 | 1 | 09/07/2004 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| David Blane Brantley | 2142419 | 2 | 08/26/2004 | Customer Dispute | Closed-No Action | $66,750.00 | $0.00 | See FINRA Report |
| Daniel Carl Davis | 1846079 | 2 | 08/25/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian Joseph Casey | 4138182 | 4 | 08/23/2004 | Customer Dispute | Closed-No Action | $23,000.00 | $0.00 | See FINRA Report |
| Marylynne Price | 2476220 | 4 | 08/16/2004 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |