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 |
|---|---|---|---|---|---|---|---|---|
| Kirk Mitchell Balin | 4590715 | 2 | 07/13/2023 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Daniel Carl Davis | 1846079 | 2 | 07/12/2023 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Michael Christopher McFeeley | 5505995 | 10 | 07/11/2023 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Andy S Rampersaud | 4030919 | 7 | 07/03/2023 | Customer Dispute | Settled | $499,000.00 | $0.00 | See FINRA Report |
| Denise Anne Deleo | 2700949 | 1 | 06/22/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brenton E Ditto | 4779103 | 1 | 06/20/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kristy H Nicol | 2778038 | 3 | 06/14/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Trent Dana Bryson | 4079384 | 1 | 06/13/2023 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| Anthony George Makransky | 2103362 | 3 | 06/13/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Edwin Nieset | 1621370 | 1 | 06/09/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |