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 |
|---|---|---|---|---|---|---|---|---|
| Amee Sue Wright | 5211763 | 1 | 01/03/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Eric Paul Zeitler | 4178056 | 1 | 01/03/2017 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Timothy Paul Lata | 2295579 | 1 | 12/13/2016 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Thomas Gerard Harkins | 2719721 | 1 | 11/28/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joel Robert Drake | 2178512 | 1 | 11/10/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Philip E Hecker | 6500679 | 1 | 11/10/2016 | Customer Dispute | Closed-No Action | $5,150.53 | $0.00 | See FINRA Report |
| Nicholas David Dalessandro | 6355371 | 1 | 11/09/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Richard Lander | 4024716 | 1 | 07/18/2016 | Customer Dispute | Closed-No Action | $8,403.00 | $0.00 | See FINRA Report |
| Jeffrey L Menough | 2207101 | 2 | 06/20/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph R Ferreira | 5644812 | 1 | 05/10/2016 | Customer Dispute | Closed-No Action | $11,924.20 | $0.00 | See FINRA Report |