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 |
|---|---|---|---|---|---|---|---|---|
| Adele Marie McKinnis | 5121356 | 2 | 02/10/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Cabriel Chaney | 4229027 | 7 | 01/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Eftin Andraos | 2070222 | 6 | 01/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Murray Paul | 4648233 | 5 | 01/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Sycamore | 5589426 | 1 | 01/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonardo F Chang | 6090971 | 9 | 01/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Medley | 4857436 | 11 | 01/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Dianne Clark | 5607234 | 3 | 01/10/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zachary Evans | 7038463 | 3 | 12/27/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zachary Evans | 7038463 | 3 | 12/27/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |