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 |
|---|---|---|---|---|---|---|---|---|
| Buddy Dean Mason | 1721391 | 2 | 11/26/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Robert Wasik | 6901058 | 1 | 10/30/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Reames Sullivan | 6259545 | 1 | 01/28/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Gregory Barr | 7470057 | 1 | 01/27/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick J Stadum | 6793918 | 1 | 10/09/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Li He | 5842224 | 2 | 07/20/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sergio Calderon | 6794543 | 1 | 07/19/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael P Sarubbi | 5306167 | 2 | 03/20/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lorraine Meloro Reith | 1857590 | 1 | 02/16/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Ryan Lindsey | 6717529 | 1 | 02/01/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |