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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Neil Trotta | 449594 | 6 | 04/01/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William R Berkowitz | 19518 | 4 | 08/04/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |