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 |
|---|---|---|---|---|---|---|---|---|
| Joanne Elizabeth Secky | 2434369 | 9 | 01/11/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joanne Elizabeth Secky | 2434369 | 9 | 01/06/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alma Marie Abrusley-Faulkner | 2471573 | 7 | 12/15/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alma Marie Abrusley-Faulkner | 2471573 | 7 | 12/15/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Mark Dalton | 1059214 | 4 | 12/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Thomas Larson | 4351073 | 7 | 11/21/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mounir I Ghaly | 4782545 | 1 | 11/18/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian S Cussimanio | 4863346 | 6 | 11/16/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cherie Lynette Harris | 4824267 | 6 | 11/03/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Gregory Thomas Larson | 4351073 | 7 | 10/21/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |