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 |
|---|---|---|---|---|---|---|---|---|
| John Cabala | 807485 | 1 | 07/17/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Patrick Prestigiacomo | 1830382 | 2 | 03/24/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Patrick Prestigiacomo | 1830382 | 2 | 12/22/1966 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Edward Boyd | 1605651 | 1 | 11/01/1964 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Dennis Toomey | 2164013 | 2 | 07/16/1964 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Louis Peterson | 1847964 | 1 | 05/03/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary Edward Moskal | 2348444 | 1 | 11/07/1960 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jack William Galle | 731838 | 2 | 09/14/1957 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Allan Tesch | 2208095 | 4 | 12/26/1956 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |