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 |
|---|---|---|---|---|---|---|---|---|
| Jacob Perez | 7652361 | 1 | 06/03/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Gregory Barr | 7470057 | 1 | 01/27/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick J Stadum | 6793918 | 1 | 10/09/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Li He | 5842224 | 2 | 07/20/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lorraine Meloro Reith | 1857590 | 1 | 02/16/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Ryan Lindsey | 6717529 | 1 | 02/01/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Harry Marshall | 6075990 | 1 | 10/25/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan John Volpe | 6987233 | 1 | 09/30/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary Alan Lagler | 2544883 | 1 | 07/31/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wesley Greg Alston | 3242920 | 4 | 07/07/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |