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 |
|---|---|---|---|---|---|---|---|---|
| Brian Matthew Padrick | 4638777 | 1 | 06/15/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Wayne Willis | 1001859 | 1 | 03/22/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Waylon Bruce Jackson | 1296347 | 1 | 03/22/1987 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James McGee Walker | 1108895 | 4 | 11/22/1986 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Francis Kennedy | 1405302 | 1 | 10/01/1986 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James McGee Walker | 1108895 | 4 | 11/15/1984 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joe Martin Bryant | 708077 | 1 | 10/08/1984 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dean Ronald Zimmerman | 476675 | 1 | 01/08/1982 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |