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 |
|---|---|---|---|---|---|---|---|---|
| Shawn Michael Limerick | 2367513 | 1 | 11/07/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Mathew Dietrich | 2427747 | 1 | 11/03/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Michael Holian | 2152931 | 1 | 10/02/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David G Norvell | 4307722 | 3 | 06/16/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley Scott Mills | 2126025 | 2 | 05/30/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Edward Coughlin | 6738897 | 1 | 03/05/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Grant Spencer Wallensky | 5567577 | 1 | 02/25/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Lee Hough | 2173127 | 2 | 02/24/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Vincent Krug | 7149445 | 2 | 12/09/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Buddy Dean Mason | 1721391 | 5 | 11/26/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |