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 |
|---|---|---|---|---|---|---|---|---|
| Clark Barlow Jolley | 260771 | 6 | 05/29/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lewis Marlin Rowe | 1349573 | 1 | 02/15/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Roy Russo | 407792 | 2 | 06/29/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Kim Freel | 1345623 | 2 | 04/17/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robin Christopher Ballard | 729773 | 1 | 08/13/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Joseph Root | 403716 | 2 | 05/24/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Albert Sgariglia | 1445310 | 3 | 03/24/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Robert Pecorella | 720851 | 4 | 03/11/1981 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Calvert Donahue | 69857 | 2 | 10/01/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George John Chardukian | 1223169 | 5 | 09/01/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |