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 |
|---|---|---|---|---|---|---|---|---|
| Cory M Gresham | 4953923 | 1 | 08/16/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gail Denise Dugas | 1149170 | 1 | 07/22/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy James Moreland | 3007421 | 1 | 07/16/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darryl L Jones | 6329095 | 1 | 07/11/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peter John Korcusko | 2769659 | 1 | 06/30/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William F Bauerband | 2213353 | 12 | 06/27/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nakia D Brown | 6332689 | 1 | 05/25/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Cody Brooks | 6971756 | 2 | 05/19/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Victor Werner | 6127094 | 3 | 05/03/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robin Elizabeth Hall | 6322882 | 1 | 05/01/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |