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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Alexander Petteruti | 7380444 | 4 | 08/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Alexander Petteruti | 7380444 | 4 | 08/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Alexander Petteruti | 7380444 | 4 | 08/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Alexander Petteruti | 7380444 | 4 | 08/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Angelo Ruiz | 7696725 | 1 | 08/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Myrick | 6863881 | 2 | 08/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Efrain Toro | 6253294 | 2 | 08/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Haag | 6655209 | 4 | 07/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephanie Kepley Hall | 4610081 | 3 | 07/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marco R Bohorquez | 4871551 | 2 | 07/10/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |