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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Scott Barber | 4617523 | 5 | 09/26/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Brandon Bates | 2489387 | 1 | 09/26/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Williamson | 6591934 | 2 | 09/26/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |