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 Stephen Caplan | 838674 | 6 | 12/18/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Host | 4630772 | 1 | 11/17/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Alten | 1401331 | 1 | 11/11/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark James Smith | 2683491 | 1 | 11/06/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Andrew Bruce King | 1601921 | 1 | 09/26/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Edward Brunelle | 2508546 | 1 | 09/04/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Randall Jay Block | 1171629 | 1 | 06/18/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Andrew Weil | 731038 | 1 | 05/25/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Susan Elizabeth Lennon | 4626179 | 1 | 04/14/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Stephen Caplan | 838674 | 6 | 02/07/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |