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 |
|---|---|---|---|---|---|---|---|---|
| Marc Freeman Arnett | 1511061 | 1 | 01/21/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harry Oliver White | 3203430 | 6 | 12/20/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy James Oconnor | 1688989 | 3 | 12/13/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Royden Meade | 1329742 | 1 | 11/28/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alan H Berman | 1172578 | 1 | 10/01/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Howard Foulke | 1450031 | 1 | 06/25/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Albert Mathiesen | 2140701 | 1 | 05/16/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Howard Turtz | 2892376 | 1 | 05/09/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott James Taylor | 2183341 | 3 | 03/21/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Werner Stock | 3234273 | 1 | 02/17/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |