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 |
|---|---|---|---|---|---|---|---|---|
| Vivian Fengi Chuan Sun | 3031907 | 2 | 04/29/2022 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Gregory Ray Powell | 1289962 | 5 | 03/27/2017 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Patrick Andrew Gunther | 1573122 | 1 | 08/29/2011 | Customer Dispute | Dismissed | $293,000.00 | $0.00 | See FINRA Report |
| Chad Gerald Molitor | 2763484 | 2 | 09/28/2004 | Customer Dispute | Dismissed | $338,000.00 | $0.00 | See FINRA Report |
| Todd Michael Gerdes-Zertuche | 3217457 | 1 | 09/16/2003 | Customer Dispute | Dismissed | $34,542.00 | $0.00 | See FINRA Report |
| Jeffrey Karl von Colln | 2468483 | 1 | 12/31/2002 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Niall David Bridgeman | 2670867 | 2 | 07/08/2002 | Customer Dispute | Dismissed | $100,000.00 | $0.00 | See FINRA Report |