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 |
|---|---|---|---|---|---|---|---|---|
| Lucia Siena | 5056469 | 1 | 04/02/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Martin Buenaga | 5363420 | 1 | 02/20/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Allen Thompson | 1175981 | 1 | 11/06/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Stephen Caplan | 838674 | 6 | 07/24/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Stephen Caplan | 838674 | 6 | 04/20/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Arthur Wright Davis | 2049879 | 1 | 03/05/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Cutler Hamilton | 728838 | 2 | 03/04/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Paul Boero | 862282 | 1 | 11/01/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Alan Woita | 1372854 | 1 | 05/17/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Patrick Bortolussi | 4338830 | 3 | 02/01/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |