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 James Baptist | 1576889 | 6 | 06/03/2022 | Customer Dispute | Settled | $15,320.00 | $0.00 | See FINRA Report |
| Kevin M O'Brien | 1866397 | 1 | 05/19/2022 | Customer Dispute | Settled | $50,713.00 | $0.00 | See FINRA Report |
| Robert Michael Grenus | 2195781 | 6 | 05/19/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Carlos Carrillo | 2110748 | 2 | 05/17/2022 | Customer Dispute | Denied | $55,250.00 | $0.00 | See FINRA Report |
| Richard Alan Maas | 3198288 | 1 | 05/13/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bryan Adam Kupchik | 2635746 | 1 | 05/13/2022 | Customer Dispute | Settled | $97,953.00 | $0.00 | See FINRA Report |
| Phillip Nathaniel Loring | 3025625 | 1 | 05/11/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tracy Anderson Lamond | 1268552 | 3 | 05/09/2022 | Customer Dispute | Denied | $35,210.90 | $0.00 | See FINRA Report |
| Rodney Marcus Scott | 5681912 | 3 | 05/05/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Garrett Keith Norton | 6756851 | 1 | 05/05/2022 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |