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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Carl Raupp | 1582935 | 2 | 02/22/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jason Tom Rossi | 4384426 | 3 | 01/25/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| John Timothy Coakley | 3114604 | 1 | 12/11/2003 | Customer Dispute | Closed-No Action | $55,000.00 | $0.00 | See FINRA Report |
| Kevin Fredrick Tyrrell | 1771530 | 3 | 10/29/2003 | Customer Dispute | Closed-No Action | $81,152.20 | $0.00 | See FINRA Report |
| Shawn Barrett Peroff | 2702904 | 3 | 10/16/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Thomas Conroy | 1855202 | 4 | 10/15/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Phillip Lawrence Dimond | 866853 | 2 | 09/24/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Mendola | 1932906 | 1 | 09/16/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christian Phillips | 1749801 | 1 | 09/09/2003 | Customer Dispute | Closed-No Action | $23,638.00 | $0.00 | See FINRA Report |
| Gerald Thomas Goss | 226249 | 1 | 07/22/2003 | Customer Dispute | Closed-No Action | $130,000.00 | $0.00 | See FINRA Report |