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 |
|---|---|---|---|---|---|---|---|---|
| Michael Scott Neal | 2849446 | 3 | 11/10/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Scott Neal | 2849446 | 3 | 11/10/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Orlando Gonzalez | 5230574 | 1 | 11/06/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Regina Latrelle McCormick | 6122806 | 3 | 11/04/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cherie Lynette Harris | 4824267 | 6 | 11/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hamza Farooquee | 6554985 | 6 | 11/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John P Rudningen | 2863878 | 4 | 10/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Basinger Stevens | 1293407 | 2 | 10/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin P Pachucki | 4547725 | 3 | 10/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julie Anne Carpenter | 4493691 | 1 | 10/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |