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 |
|---|---|---|---|---|---|---|---|---|
| Charles Anthony Marselli | 5900700 | 1 | 01/01/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brendan Patrick O'Brien | 2154527 | 3 | 11/25/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Kruspodin | 4052837 | 1 | 11/19/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Chris Latham | 2338247 | 2 | 10/18/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Wayne Cole | 2179125 | 1 | 08/09/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erich William Raasch | 2001643 | 4 | 03/27/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Anthony Ciavaglia | 3096552 | 1 | 03/27/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alan Michael Romero | 3273880 | 1 | 03/20/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erich William Raasch | 2001643 | 4 | 03/10/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erich William Raasch | 2001643 | 4 | 03/10/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |