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 |
|---|---|---|---|---|---|---|---|---|
| Mark A Stockard | 6421283 | 5 | 02/23/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas J Russell | 1406829 | 2 | 02/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Dianne Clark | 5607234 | 3 | 02/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul H Schott | 2413754 | 3 | 02/11/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Howard Sager | 2596851 | 1 | 02/09/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Travis Ryan Strubhar | 6892331 | 6 | 02/03/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Pablo Andres Morantes Saa | 7704072 | 1 | 01/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Joseph Evers | 3210560 | 1 | 01/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Edward Podawiltz | 2528768 | 2 | 01/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William F Bauerband | 2213353 | 12 | 01/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |