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 |
|---|---|---|---|---|---|---|---|---|
| Tyler Lance Hansen | 7240188 | 4 | 01/31/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler Lance Hansen | 7240188 | 4 | 01/31/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Joseph Rocks | 6920332 | 1 | 01/30/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Tyler Lance Hansen | 7240188 | 4 | 01/25/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler Lance Hansen | 7240188 | 4 | 01/25/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Ward | 6150246 | 2 | 01/21/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Anthony Ward | 6150246 | 2 | 01/18/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Thomas Larson | 4351073 | 7 | 01/13/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alyssa Rose Sanderson | 7024664 | 1 | 01/12/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joanne Elizabeth Secky | 2434369 | 9 | 01/11/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |