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 |
|---|---|---|---|---|---|---|---|---|
| Warren Harris Strauss | 722297 | 3 | 03/25/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Thomas Carter | 4018944 | 1 | 01/01/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Louie Morrison | 1751511 | 3 | 01/01/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Albert Kusay | 1850785 | 1 | 11/23/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Heather Morgan Anderson | 5079762 | 1 | 10/01/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Devin McDonald | 2238124 | 1 | 04/17/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brenda Marie Hotaling | 2496060 | 1 | 01/20/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Joseph Urda | 2285857 | 3 | 01/01/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Michael Teller | 2424753 | 1 | 11/08/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Fernando Valente | 2191086 | 6 | 11/05/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |