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 |
|---|---|---|---|---|---|---|---|---|
| Robert Michael Grenus | 2195781 | 6 | 01/10/2002 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Jeffery Lowell Whitaker | 713323 | 2 | 01/09/2002 | Customer Dispute | Closed-No Action | $46,559.70 | $0.00 | See FINRA Report |
| Jose Juan Torres | 1244176 | 2 | 12/26/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Michael Raft | 2256800 | 3 | 12/07/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Warren Bernard Gallagher | 2460167 | 5 | 11/30/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Dicran Berj Haidostian | 1536075 | 1 | 11/17/2001 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Thomas Paul Henry | 2359302 | 2 | 11/08/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Danny Joseph Acedo | 1760782 | 2 | 11/07/2001 | Customer Dispute | Closed-No Action | $9,000.00 | $0.00 | See FINRA Report |
| Donald Stewart Hutchinson | 254071 | 2 | 10/30/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Vernon Kim | 2373668 | 3 | 10/10/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |