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 |
|---|---|---|---|---|---|---|---|---|
| Charles Joseph Root | 403716 | 2 | 05/07/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Lester Caldwell | 872136 | 1 | 03/27/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Cutler Hamilton | 728838 | 2 | 02/27/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dennis Michael Duval | 1024573 | 1 | 11/15/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Carmen Pitrone | 1170155 | 1 | 10/01/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| George Khalsa | 1094736 | 1 | 03/01/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey S Gilman | 840052 | 2 | 02/26/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Wesley Honeywell | 2201764 | 2 | 10/30/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Earl Moyer | 1186287 | 2 | 09/10/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Victor Gibbons | 1712061 | 1 | 08/16/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |