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 |
|---|---|---|---|---|---|---|---|---|
| Bernard Gerard Sandford | 4341197 | 1 | 01/11/2016 | Customer Dispute | Closed-No Action | $155,000.00 | $0.00 | See FINRA Report |
| Rob Harris | 1549940 | 1 | 11/28/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Chad Michael Webster | 5493951 | 3 | 10/15/2015 | Customer Dispute | Closed-No Action | $28,000.00 | $0.00 | See FINRA Report |
| James Patrick Flynn | 1381274 | 2 | 09/24/2015 | Customer Dispute | Closed-No Action | $7,556.67 | $0.00 | See FINRA Report |
| Jackie Lou Daclan Davolio-Raquidan | 5338605 | 1 | 09/14/2015 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Marie Anne Burns | 4379046 | 2 | 08/21/2015 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Steven George Perillo | 4867169 | 1 | 04/02/2015 | Customer Dispute | Closed-No Action | $15,494.00 | $0.00 | See FINRA Report |
| Alex B Pina | 4537963 | 1 | 03/10/2015 | Customer Dispute | Closed-No Action | $20,710.00 | $0.00 | See FINRA Report |
| James Patrick Stites | 3171690 | 1 | 01/27/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Timothy James Oconnor | 1688989 | 3 | 01/22/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |