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 |
|---|---|---|---|---|---|---|---|---|
| Ayaz Mazhar Syed | 7028711 | 1 | 01/17/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Erik Fuentes | 7431766 | 1 | 01/11/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Casey Alan Bright | 6272561 | 2 | 01/06/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Adam Eisler | 2503507 | 5 | 12/19/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Raul Hernandez | 5610454 | 1 | 09/07/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher James Heckenkamp | 6985506 | 1 | 08/17/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David G Norvell | 4307722 | 3 | 07/25/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alexander Ryan Deseelhorst | 6190098 | 1 | 05/18/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert John Naclerio | 1677407 | 3 | 05/05/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Andrew Ranegan | 5257599 | 1 | 04/12/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |