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 |
|---|---|---|---|---|---|---|---|---|
| Patrick William Shaughnessy | 1091223 | 2 | 10/15/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Carl Westcott | 1007101 | 3 | 08/29/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Ray Valenzuela | 710881 | 1 | 07/22/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Alvin Icabone | 1097766 | 4 | 07/07/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Carl Westcott | 1007101 | 3 | 03/08/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Thomas Mougey | 1157582 | 2 | 12/03/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey S Gilman | 840052 | 2 | 12/01/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Louis Dulude | 1136682 | 1 | 10/18/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ivan David Johnson | 4852645 | 2 | 08/20/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard V Digennaro | 6146182 | 1 | 06/21/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |