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 | 04/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William F Bauerband | 2213353 | 12 | 04/25/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark K Millar | 1439121 | 1 | 04/22/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Wrisley | 6573852 | 3 | 04/12/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Wrisley | 6573852 | 3 | 04/11/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonardo F Chang | 6090971 | 9 | 03/24/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Oneil | 7056728 | 2 | 03/22/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Wrisley | 6573852 | 3 | 03/20/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Smitha Thomas | 3128270 | 3 | 03/10/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Francisco Isaac Cossio-Franco | 5957829 | 1 | 03/09/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |