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 |
|---|---|---|---|---|---|---|---|---|
| Edward F Terranova | 6541243 | 1 | 04/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Regina Latrelle McCormick | 6122806 | 3 | 04/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julia Oh | 6287149 | 5 | 04/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Yasmin Tehranzadeh | 6187598 | 4 | 04/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sharon D Welch | 2899034 | 2 | 03/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Christopher Bliss | 4875381 | 6 | 03/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Susan M McElfresh | 4609526 | 4 | 03/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Earl Stanlick | 2411358 | 8 | 03/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Lyu Wong | 7033702 | 1 | 03/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sharina C Smith | 6332744 | 2 | 03/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |