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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Edward Crayton | 6195331 | 1 | 03/15/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Charles Irr | 2569669 | 1 | 03/15/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Darren Allen James | 4719616 | 1 | 02/23/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Russell L Martin | 5236382 | 1 | 02/16/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brigitte Ann Murphy | 5220008 | 1 | 02/11/2022 | 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 | |
| Samuel J Smith | 5883102 | 1 | 06/01/2021 | 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 | |
| Michael Robert Neill | 4700490 | 3 | 04/21/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |