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 |
|---|---|---|---|---|---|---|---|---|
| John Jaime Valencia | 7169136 | 1 | 03/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Earl Stanlick | 2411358 | 8 | 03/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walillian Kennedy White | 6654885 | 1 | 03/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Tartarini | 2569293 | 3 | 03/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul H Schott | 2413754 | 3 | 02/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Diana Mariana Marquez | 3086627 | 1 | 02/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lorelei A Rodriguez | 6344458 | 2 | 02/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Allen English | 201380 | 5 | 02/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Allen English | 201380 | 5 | 02/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Victor Werner | 6127094 | 3 | 02/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |