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 |
|---|---|---|---|---|---|---|---|---|
| Lorelei A Rodriguez | 6344458 | 2 | 04/02/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Kamel | 7377675 | 6 | 04/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Aupperle Russell | 7159341 | 1 | 04/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Oliver Weatherford | 7504634 | 6 | 04/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Travis Ryan Strubhar | 6892331 | 6 | 03/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Katsarelis | 6720850 | 3 | 03/21/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julia Lynn Dick | 5045242 | 2 | 03/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonardo F Chang | 6090971 | 9 | 03/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Stuart Fineberg | 2732384 | 4 | 03/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tandy Kay Ervin | 4659293 | 3 | 03/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |