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 |
|---|---|---|---|---|---|---|---|---|
| James Edward Jones | 2262799 | 3 | 08/17/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gail Denise Dugas | 1149170 | 1 | 07/22/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darryl L Jones | 6329095 | 1 | 07/11/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William F Bauerband | 2213353 | 9 | 06/27/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nakia D Brown | 6332689 | 1 | 05/25/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Victor Werner | 6127094 | 3 | 05/03/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robin Elizabeth Hall | 6322882 | 1 | 05/01/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joanne Elizabeth Secky | 2434369 | 9 | 04/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William F Bauerband | 2213353 | 9 | 04/25/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark K Millar | 1439121 | 1 | 04/22/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |