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 |
|---|---|---|---|---|---|---|---|---|
| James Randall Lepore | 6714332 | 1 | 01/04/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric Alexander Johnson | 2612175 | 1 | 12/18/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Michael Smith | 4024740 | 1 | 12/07/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Melikidse | 2353534 | 3 | 12/07/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey James Lovett | 2867799 | 1 | 11/22/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rosanna Gabriella Galick | 6297221 | 1 | 10/26/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Shoukry | 6996365 | 1 | 10/05/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Marisol Espinoza | 5571938 | 1 | 09/26/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Frank Valvano | 6762687 | 1 | 08/08/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Gage Haines | 2640798 | 2 | 08/01/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |