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 |
|---|---|---|---|---|---|---|---|---|
| Cindy Sue Gleason | 2097347 | 1 | 11/06/1998 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Jeffery Alex McKannay | 1558453 | 4 | 10/27/1998 | Customer Dispute | Denied | $35,881.00 | $0.00 | See FINRA Report |
| Raymond Dean Elgaard | 2842646 | 1 | 10/07/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wendy Sue Castaldy | 1369861 | 2 | 08/14/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Judy Lee Esau | 1229839 | 1 | 07/29/1998 | Customer Dispute | Denied | $8,206.00 | $0.00 | See FINRA Report |
| Steven Randolph Jung | 1440551 | 4 | 07/20/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donald Francis White | 1347171 | 3 | 06/26/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bradley Levon Butler | 2114784 | 1 | 06/24/1998 | Customer Dispute | Denied | $37,000.00 | $0.00 | See FINRA Report |
| Jeffrey David Lynn | 2443516 | 3 | 06/24/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Thompson | 2263890 | 2 | 06/03/1998 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |