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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Allan Adams | 2447178 | 1 | 07/14/2003 | Customer Dispute | Closed-No Action | $22,000.00 | $0.00 | See FINRA Report |
| Kevin Ronald Sullivan | 1966124 | 2 | 06/14/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Randy Allen | 2266008 | 1 | 05/29/2003 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Jane-Ellen Porter-Stefanowicz | 2293920 | 1 | 05/21/2003 | Customer Dispute | Closed-No Action | $150,929.00 | $0.00 | See FINRA Report |
| David Allen Hoist | 2209015 | 1 | 05/19/2003 | Customer Dispute | Closed-No Action | $9,331.00 | $0.00 | See FINRA Report |
| Paul John Aubin | 2815422 | 3 | 04/18/2003 | Customer Dispute | Closed-No Action | $8,439.63 | $0.00 | See FINRA Report |
| Todd Lance Dreyer | 1686143 | 2 | 04/02/2003 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Michelle Brennan Hall | 1961231 | 2 | 03/11/2003 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Donald Wayne Kainer | 2110854 | 2 | 03/06/2003 | Customer Dispute | Closed-No Action | $90,000.00 | $0.00 | See FINRA Report |
| Andrew Seested | 4351017 | 1 | 03/03/2003 | Customer Dispute | Closed-No Action | $22,497.20 | $5,000.00 | See FINRA Report |