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 |
|---|---|---|---|---|---|---|---|---|
| Marci L Cartwright | 3207312 | 1 | 05/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas L Popovec | 5705390 | 16 | 05/02/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas L Popovec | 5705390 | 16 | 04/30/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Alexander Sullivan | 6348034 | 9 | 04/30/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas L Popovec | 5705390 | 16 | 04/29/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas L Popovec | 5705390 | 16 | 04/25/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas L Popovec | 5705390 | 16 | 04/25/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas L Popovec | 5705390 | 16 | 04/25/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexandra Marie Richey | 7494556 | 4 | 04/18/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William F Bauerband | 2213353 | 12 | 04/08/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |