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 | 08/25/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Eftin Andraos | 2070222 | 6 | 08/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cyril Stephen White | 2986195 | 1 | 08/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Susan M McElfresh | 4609526 | 4 | 08/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Kamel | 7377675 | 6 | 08/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Kamel | 7377675 | 6 | 08/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donald George Snyder | 6490192 | 4 | 07/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donald George Snyder | 6490192 | 4 | 07/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donald George Snyder | 6490192 | 4 | 07/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonardo F Chang | 6090971 | 9 | 07/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |