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 |
|---|---|---|---|---|---|---|---|---|
| Cameron Bret Kerns | 6009188 | 1 | 08/09/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul David Childress | 5824932 | 2 | 07/03/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Michael Brown | 2843352 | 4 | 07/01/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Thomas Manolopoulos | 2301084 | 1 | 04/08/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Lorenz Steer | 2369245 | 3 | 04/04/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter J Cox | 4501828 | 2 | 02/05/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Matthew Clayton | 2109597 | 2 | 01/02/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harry Oliver White | 3203430 | 6 | 12/06/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Charles Steger | 849032 | 4 | 11/29/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Frederick Schmidt | 2316136 | 1 | 10/26/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |