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 |
|---|---|---|---|---|---|---|---|---|
| David Alan Fink | 1792442 | 4 | 06/21/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Lyle Davis | 2650027 | 1 | 05/13/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Deatra Jeanne Harrington | 2685103 | 2 | 12/10/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Edward Meck | 7169519 | 1 | 10/09/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl John Cerruti | 1146242 | 2 | 10/09/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel George Bruza | 725918 | 1 | 08/28/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Geary | 219122 | 1 | 08/26/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edmund Colwell McNeil | 1112322 | 3 | 05/19/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Jon Olsen | 4401671 | 1 | 05/01/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Laurence Andrew McHugh | 2427447 | 5 | 04/09/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |