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 |
|---|---|---|---|---|---|---|---|---|
| Francisco Isaac Cossio-Franco | 5957829 | 1 | 03/09/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew John Colascione | 5426163 | 5 | 03/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Evan Tate | 2949658 | 4 | 02/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Edward Jones | 2262799 | 3 | 02/22/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thierry P Cohen | 5093894 | 1 | 02/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathleen Robinson | 4739287 | 1 | 02/05/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew John Colascione | 5426163 | 5 | 01/27/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Enrique Olano | 6708772 | 2 | 01/12/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Lee Johnson | 5103015 | 2 | 12/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Franklin | 855354 | 1 | 12/21/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |