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 |
|---|---|---|---|---|---|---|---|---|
| Sharise Harrison | 6058123 | 3 | 10/19/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Thomas Larson | 4351073 | 7 | 10/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Thomas Larson | 4351073 | 7 | 09/20/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Susan M McElfresh | 4609526 | 4 | 09/12/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joanne Elizabeth Secky | 2434369 | 9 | 09/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas James Snyder | 6025530 | 1 | 09/06/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole Lynn Starbuck | 6987172 | 1 | 09/01/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Thomas Larson | 4351073 | 7 | 08/21/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ginette Mayer | 6619287 | 3 | 08/20/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ginette Mayer | 6619287 | 3 | 08/20/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |