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 |
|---|---|---|---|---|---|---|---|---|
| Amy Jo Dixon | 6631533 | 4 | 06/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jo Dixon | 6631533 | 4 | 06/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jo Dixon | 6631533 | 4 | 06/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Colin Merrill Clark | 2849937 | 1 | 05/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonardo F Chang | 6090971 | 9 | 05/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonardo F Chang | 6090971 | 9 | 05/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcio Superbi Kobayashi | 6784690 | 8 | 05/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonardo F Chang | 6090971 | 9 | 05/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle Williams | 5787114 | 1 | 05/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Reaume | 4534619 | 1 | 05/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |