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 |
|---|---|---|---|---|---|---|---|---|
| Emilio Lira | 5014681 | 4 | 07/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Jeffrey Peters | 4183207 | 2 | 07/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark A Stockard | 6421283 | 5 | 07/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Caitlin G Persson | 6723215 | 1 | 07/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark A Stockard | 6421283 | 5 | 06/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Oliver Weatherford | 7504634 | 6 | 06/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Oliver Weatherford | 7504634 | 6 | 06/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Oliver Weatherford | 7504634 | 6 | 06/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Oliver Weatherford | 7504634 | 6 | 06/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Kamel | 7377675 | 6 | 06/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |