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 |
|---|---|---|---|---|---|---|---|---|
| Esau Cruz Quiroz | 7409378 | 5 | 05/31/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Alexander Sullivan | 6348034 | 9 | 05/30/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William F Bauerband | 2213353 | 12 | 05/24/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Nicholas L Popovec | 5705390 | 16 | 05/15/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas L Popovec | 5705390 | 16 | 05/15/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ashwin Bipin Patel | 6399885 | 1 | 05/13/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas L Popovec | 5705390 | 16 | 05/02/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas L Popovec | 5705390 | 16 | 04/30/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Alexander Sullivan | 6348034 | 9 | 04/30/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas L Popovec | 5705390 | 16 | 04/29/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |