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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Spencer Reed | 7597637 | 2 | 07/31/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexandra Marie Richey | 7494556 | 4 | 07/29/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Ann Ford | 4531681 | 2 | 07/26/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Gary Allen Scott | 6029196 | 1 | 07/22/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Alexandra Marie Richey | 7494556 | 4 | 07/10/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexandra Marie Richey | 7494556 | 4 | 07/10/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scarlett Chamice Cherry | 4388822 | 3 | 07/09/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas L Popovec | 5705390 | 16 | 06/28/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Alexander Sullivan | 6348034 | 9 | 06/25/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hsiao-Chuan Chang | 4336340 | 1 | 06/11/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |