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 |
|---|---|---|---|---|---|---|---|---|
| Rachel Louise Betzwieser | 6615546 | 1 | 08/22/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeremy Thomas Gunderson | 6082093 | 2 | 02/08/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Brandon Gotleib | 6229565 | 1 | 01/29/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rachel Marie Parks | 7064401 | 1 | 11/25/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas David Gordon | 6780924 | 1 | 11/23/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Noah A Cornish | 2336616 | 1 | 10/25/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Wencis | 6524067 | 1 | 10/13/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alexander Edward Kovacs | 7027750 | 1 | 09/26/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher M Ronkese | 2898765 | 1 | 09/20/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Holman | 2930741 | 2 | 07/05/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |