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 |
|---|---|---|---|---|---|---|---|---|
| Danice Leah Turner | 6766221 | 2 | 10/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sergio Alberto Rojas | 5521486 | 2 | 10/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Barry Murphey | 7091172 | 2 | 10/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tiffany Lynn Micale | 4731916 | 1 | 09/25/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Demopolis | 6624936 | 3 | 09/14/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joanne Elizabeth Secky | 2434369 | 9 | 09/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonardo F Chang | 6090971 | 9 | 09/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joanne Elizabeth Secky | 2434369 | 9 | 09/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hamza Farooquee | 6554985 | 6 | 09/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joanne Elizabeth Secky | 2434369 | 9 | 08/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |