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 |
|---|---|---|---|---|---|---|---|---|
| Jaime Arnoldo Cavazos | 4622091 | 2 | 09/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Russell Grady Morris | 6586974 | 1 | 09/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Yasmin Tehranzadeh | 6187598 | 4 | 09/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Lynn Povilaitis | 6598464 | 1 | 08/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas J Balchik | 5196835 | 2 | 08/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kirk Darnell | 4495313 | 1 | 08/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Michael Siancas | 6338717 | 1 | 08/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shahreyar Ahmad Chauhan | 6900825 | 1 | 08/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Teresa Lee Hettinger | 2518250 | 4 | 08/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Teresa Lee Hettinger | 2518250 | 4 | 08/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |