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 |
|---|---|---|---|---|---|---|---|---|
| Debbie Winokur | 1464218 | 1 | 07/28/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald Jerry Paroda | 2905728 | 2 | 07/15/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dale Robert Powers | 2255475 | 1 | 06/19/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl Lee Thompson | 1373253 | 2 | 03/13/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dennis Cleveland Thompson | 2990628 | 2 | 01/01/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lawrence Lee Karpf | 2658255 | 3 | 12/11/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert John Naclerio | 1677407 | 3 | 12/07/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Thomas Foran | 1056666 | 1 | 11/10/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harry Oliver White | 3203430 | 6 | 08/18/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Bruce Clement | 2574247 | 1 | 08/13/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |