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 |
|---|---|---|---|---|---|---|---|---|
| Michael Richard Tormey | 1256693 | 3 | 03/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leon Demetrius Langs | 5562067 | 2 | 03/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Asako Okuma | 7844633 | 1 | 03/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Doris Morgan | 7232585 | 1 | 03/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sharise Harrison | 6058123 | 3 | 03/14/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Eftin Andraos | 2070222 | 6 | 03/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Katelyn Nicole Burke | 6916839 | 1 | 03/04/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather M Wright | 1663805 | 3 | 02/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Iris Patricia Sosa | 6931163 | 2 | 02/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kent Dean Sherfey | 2170605 | 1 | 02/12/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |