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 |
|---|---|---|---|---|---|---|---|---|
| Ernest Paul Carrera | 2398888 | 2 | 05/23/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary Alan Frank | 1976905 | 2 | 04/06/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Beaux Guthrie Treguboff | 5533615 | 1 | 01/13/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Cocking | 7396729 | 1 | 01/01/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon John Flynn | 3111875 | 2 | 08/18/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Samuel Micah Valerio | 5169136 | 1 | 06/03/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Daniel Okeefe | 6878706 | 1 | 05/21/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Jennings | 3150185 | 2 | 10/29/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Julia Hummel | 7889004 | 1 | 10/25/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Joseph Foltz | 5270240 | 1 | 04/11/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |