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 |
|---|---|---|---|---|---|---|---|---|
| Alvaro Mauricio Jiron | 4226147 | 1 | 08/31/2023 | Customer Dispute | Denied | $125,351.00 | $0.00 | See FINRA Report |
| Thomas Francis Koss | 2314629 | 1 | 08/30/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Carl Nolt | 5038487 | 1 | 08/29/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Vincent Robert Gallagher | 844534 | 6 | 08/07/2023 | Customer Dispute | Denied | $29,000.00 | $0.00 | See FINRA Report |
| William Lloyd Addison | 6152328 | 1 | 07/27/2023 | Customer Dispute | Denied | $700,000.00 | $0.00 | See FINRA Report |
| Denise Anne Deleo | 2700949 | 1 | 06/22/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| 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 |
| Tyson William Allred | 3081010 | 6 | 06/05/2023 | Customer Dispute | Denied | $42,409.20 | $0.00 | See FINRA Report |
| Claiborne Brunot Lagrone | 3030520 | 1 | 05/30/2023 | Customer Dispute | Denied | $31,202.10 | $0.00 | See FINRA Report |