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 |
|---|---|---|---|---|---|---|---|---|
| Richard Jean Bourgouin | 3207811 | 2 | 07/08/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Edward Henry | 2696886 | 1 | 07/03/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Glenn Thompson | 2597310 | 4 | 06/26/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Hyun Sup Song | 4952956 | 1 | 06/24/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Edward Smith | 2060411 | 2 | 06/22/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Michael Smith | 2899579 | 1 | 04/20/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Woodrow Selvey Knight | 2776320 | 1 | 03/17/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Ward | 2596454 | 1 | 03/15/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven D Scherer | 5460913 | 1 | 02/17/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Ray Pitts | 4777045 | 3 | 01/29/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |