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 |
|---|---|---|---|---|---|---|---|---|
| Harry Oliver White | 3203430 | 6 | 08/09/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Walter Marcel Gundlach | 1531313 | 4 | 07/15/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brent Alan Markley | 1399374 | 3 | 07/09/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ronald Ray Schmidt | 2365707 | 2 | 05/27/2004 | Customer Dispute | Closed-No Action | $70,042.00 | $0.00 | See FINRA Report |
| William Blake Morris | 2459142 | 1 | 04/26/2004 | Customer Dispute | Closed-No Action | $8,427.00 | $0.00 | See FINRA Report |
| James William Coleman | 2001116 | 3 | 04/22/2004 | Customer Dispute | Closed-No Action | $219,500.00 | $0.00 | See FINRA Report |
| Kathleen Ann Gfrorer | 731167 | 1 | 03/22/2004 | Customer Dispute | Closed-No Action | $434,520.00 | $0.00 | See FINRA Report |
| Vincent Charles Meleco | 815306 | 8 | 03/15/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Wesley Renz | 2998611 | 2 | 03/09/2004 | Customer Dispute | Closed-No Action | $42,000.00 | $0.00 | See FINRA Report |
| Erick Andrew Bourbon | 2114292 | 2 | 03/01/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |