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 |
|---|---|---|---|---|---|---|---|---|
| Peter Marshall Hass | 1289700 | 1 | 10/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Stephen Buckman | 1984483 | 7 | 10/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stuart Adam Cohen | 6136270 | 3 | 10/23/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vincent David Aber | 6380405 | 2 | 10/22/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ken Anthony Bradshaw | 6192508 | 3 | 10/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Paul Farrall | 2559797 | 4 | 10/15/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy G Nelson | 6356249 | 1 | 10/15/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared P Roaten | 4151120 | 2 | 10/14/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Jean Bourgouin | 3207811 | 2 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew James Russell | 5961250 | 1 | 09/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |