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 |
|---|---|---|---|---|---|---|---|---|
| Dean Winfred Thurman | 2042267 | 1 | 03/12/1998 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Darrel Bruce Markley | 1726973 | 1 | 03/05/1998 | Customer Dispute | Closed-No Action | $27,600.00 | $0.00 | See FINRA Report |
| Michelle D Portney | 1187269 | 1 | 03/03/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John David Wright | 2167541 | 4 | 02/04/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John David Wright | 2167541 | 4 | 02/04/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Bryan Aldrich | 2265693 | 3 | 01/22/1998 | Customer Dispute | Closed-No Action | $7,762.10 | $0.00 | See FINRA Report |
| Michael Bruce Bagley | 1644740 | 2 | 12/01/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alan Barry Krichman | 1608713 | 2 | 11/01/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Rockwell Stuart Pearson | 1956885 | 1 | 10/17/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |