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 |
|---|---|---|---|---|---|---|---|---|
| John Kamel | 7377675 | 6 | 06/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peter J Navaretta | 4491039 | 3 | 06/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Craig Griffis | 850356 | 6 | 06/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark A Stockard | 6421283 | 5 | 06/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcio Superbi Kobayashi | 6784690 | 8 | 05/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roston Ted Willis | 5904217 | 5 | 05/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roston Ted Willis | 5904217 | 5 | 05/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Woodson Ritter | 5976441 | 1 | 05/19/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| John Sorocenski | 5097133 | 4 | 05/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William F Bauerband | 2213353 | 12 | 05/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |