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 |
|---|---|---|---|---|---|---|---|---|
| Robert T Li | 4068255 | 3 | 01/06/2023 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Robert T Li | 4068255 | 3 | 01/05/2023 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Brian Victor Hsieh | 4966508 | 1 | 01/04/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Christopher Carl Cavallaro | 2125009 | 4 | 01/03/2023 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| William Cole Smith | 5327357 | 1 | 01/03/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Chad P Zitzelsberger | 4642732 | 1 | 12/30/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Mark Gilbert Zitzelsberger | 1139830 | 2 | 12/30/2022 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Greg Dufala | 5353950 | 1 | 12/29/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Bryan Edward Davidson | 5445540 | 4 | 12/26/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Timothy Bruce Doering | 5487920 | 1 | 12/21/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |