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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Allen Boonstra | 6200218 | 1 | 11/28/2018 | Customer Dispute | Denied | $29,000.00 | $0.00 | See FINRA Report |
| Christopher R Bice | 3222439 | 3 | 11/12/2018 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Kenneth Allan Franklin | 4460725 | 2 | 11/11/2018 | Customer Dispute | Denied | $8,008.62 | $0.00 | See FINRA Report |
| Salvatore Patrick Ventimiglia | 1030589 | 1 | 11/08/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tom Michael Prybylo | 2532551 | 1 | 11/08/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Les James Miller | 6092431 | 1 | 11/05/2018 | Customer Dispute | Denied | $22,925.80 | $0.00 | See FINRA Report |
| Rudra Devanand Persaud | 3031653 | 1 | 11/02/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Charles Champagne | 4169488 | 10 | 10/31/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Edward Headley | 1859426 | 1 | 10/31/2018 | Customer Dispute | Denied | $8,494.02 | $0.00 | See FINRA Report |
| Pamela Kay McKenzie | 4923909 | 3 | 10/30/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |