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 |
|---|---|---|---|---|---|---|---|---|
| Robert Joseph Dehayes | 2638059 | 3 | 11/22/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Paul McErlean | 2463560 | 6 | 09/30/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Brian Lee | 2950037 | 3 | 08/10/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles William Moffitt | 2709613 | 2 | 05/17/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christian J. Duncan | 6798027 | 4 | 04/29/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Robert Neill | 4700490 | 1 | 04/21/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Pat Palmer Patterson | 2221714 | 1 | 04/05/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carter E Chotin | 5587655 | 1 | 04/01/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Zachary Stuart | 6221269 | 2 | 02/03/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nicholas John Ferguson | 6504914 | 1 | 12/15/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |