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 |
|---|---|---|---|---|---|---|---|---|
| William F Bauerband | 2213353 | 12 | 01/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Stuart Fineberg | 2732384 | 4 | 01/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Barry Murphey | 7091172 | 2 | 01/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas L Popovec | 5705390 | 16 | 01/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Stuart Fineberg | 2732384 | 4 | 01/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephanie Kepley Hall | 4610081 | 3 | 01/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua W Dowden | 5416346 | 1 | 12/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jo Dixon | 6631533 | 4 | 12/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcio Superbi Kobayashi | 6784690 | 8 | 12/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric James Canupp | 6731064 | 1 | 12/23/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |