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 |
|---|---|---|---|---|---|---|---|---|
| Emily Dalton Hickman | 6770372 | 1 | 01/05/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lance Prince | 2428655 | 4 | 12/07/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua E Anderson | 7234391 | 1 | 12/06/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Adrian Lesesne | 1814146 | 7 | 11/30/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Mark Gorelik | 7040121 | 1 | 11/28/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Isaac Mendoza | 7514093 | 1 | 11/27/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Linda Clair Mills | 845952 | 6 | 11/21/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher D Williams | 7366275 | 1 | 11/15/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathryn Jo Hackney | 1548894 | 2 | 11/14/2023 | Customer Dispute | Final | $150,000.00 | $0.00 | See FINRA Report |
| Frank L Martin | 2859847 | 3 | 11/09/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |