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 |
|---|---|---|---|---|---|---|---|---|
| Dennis J Harp | 1184266 | 3 | 02/25/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jean Clayton Paradis | 2167253 | 3 | 12/15/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Anthony Parente | 1058250 | 1 | 11/15/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Brian Moloney | 1543528 | 3 | 10/15/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark George Trevenna | 1961422 | 1 | 07/02/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Christopher North | 2089713 | 5 | 04/15/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael John Nedreski | 2010627 | 1 | 10/02/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Arthur Trifon | 1075742 | 1 | 09/15/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nick H Singh | 1023361 | 1 | 08/15/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Douglas Paul Behl | 1216009 | 3 | 08/14/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |