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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Marco Bagot | 6714305 | 1 | 11/17/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Devonte Ivory | 7024176 | 1 | 05/09/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy David Brinling | 5575135 | 1 | 02/18/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Darcy Lynn Salter | 2169319 | 1 | 01/21/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Wayne Brewington | 4487477 | 1 | 10/21/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ernest Paul Carrera | 2398888 | 2 | 05/23/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary Alan Frank | 1976905 | 2 | 04/06/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Beaux Guthrie Treguboff | 5533615 | 1 | 01/13/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Cocking | 7396729 | 1 | 01/01/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon John Flynn | 3111875 | 1 | 08/18/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |