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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Dionisio Baliton | 2413681 | 6 | 12/17/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven R Howard | 4621847 | 1 | 12/03/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Greg Laurence Coburn | 2349925 | 1 | 11/20/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Alexander Linn | 2138452 | 1 | 10/23/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roger Alan Pugh | 2928694 | 2 | 10/09/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jaime Samudio | 5124345 | 2 | 10/02/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Louie Morrison | 1751511 | 3 | 09/05/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Brian Welsh | 2070380 | 1 | 08/28/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Herbert Gillingham | 4433712 | 1 | 08/15/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald John Giunta | 2726796 | 1 | 07/11/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |