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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Edward O'Donnell | 1944448 | 1 | 02/17/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roger Andrew Linder | 2526633 | 1 | 02/11/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Grant Hartman Ulrick | 2860140 | 2 | 01/27/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Kim Freel | 1345623 | 2 | 11/23/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Cronin Ettinger | 4334894 | 3 | 11/11/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Rollins | 1764665 | 2 | 11/01/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Edwin Hellon | 1791279 | 1 | 09/22/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Laurence Andrew McHugh | 2427447 | 5 | 07/16/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Roy Perry | 4824571 | 1 | 06/07/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Paul Mushel | 1334874 | 1 | 04/16/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |