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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Micah Valerio | 5169136 | 1 | 06/03/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Daniel Okeefe | 6878706 | 1 | 05/21/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Justin Towne | 6414493 | 4 | 02/17/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shawn Michael Limerick | 2367513 | 1 | 11/07/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Mathew Dietrich | 2427747 | 2 | 11/03/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Michael Holian | 2152931 | 1 | 10/02/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Edward Coughlin | 6738897 | 1 | 03/05/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Grant Spencer Wallensky | 5567577 | 1 | 02/25/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Lee Hough | 2173127 | 2 | 02/24/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Vincent Krug | 7149445 | 2 | 12/09/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |