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 |
|---|---|---|---|---|---|---|---|---|
| Jessica Otaviano | 7138614 | 12 | 10/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Otaviano | 7138614 | 12 | 10/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcio Superbi Kobayashi | 6784690 | 8 | 09/23/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcio Superbi Kobayashi | 6784690 | 8 | 09/23/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wendy Marie Cundari | 2118351 | 5 | 09/21/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peter J Navaretta | 4491039 | 3 | 09/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Travis Ryan Strubhar | 6892331 | 6 | 09/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Lee Johnson | 5103015 | 2 | 09/09/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Oneil | 7056728 | 2 | 09/02/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William F Bauerband | 2213353 | 12 | 08/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |