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 |
|---|---|---|---|---|---|---|---|---|
| Julia Oh | 6287149 | 5 | 07/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Waqas Ahmad Khan | 5529451 | 2 | 06/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Waqas Ahmad Khan | 5529451 | 2 | 06/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dean Perez Elmer | 4310405 | 2 | 06/27/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeff Quinn | 4534605 | 1 | 06/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Alan Hyde | 862184 | 2 | 06/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emilio Lira | 5014681 | 4 | 06/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emilio Lira | 5014681 | 4 | 06/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adam A Smith | 3071721 | 3 | 06/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adam A Smith | 3071721 | 3 | 06/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |