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 |
|---|---|---|---|---|---|---|---|---|
| Travis Ryan Strubhar | 6892331 | 6 | 11/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Travis Ryan Strubhar | 6892331 | 6 | 11/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William F Bauerband | 2213353 | 12 | 11/25/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donald George Snyder | 6490192 | 4 | 11/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gabriel Iniguez | 6801852 | 2 | 11/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vincent Robert Gallagher | 844534 | 6 | 11/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Roisum | 6389133 | 1 | 11/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcio Superbi Kobayashi | 6784690 | 8 | 11/06/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Teresa Lynn Haire | 2133154 | 1 | 11/03/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Troy Ashley Gentry | 5635637 | 1 | 10/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |