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 |
|---|---|---|---|---|---|---|---|---|
| Sergio Alberto Rojas | 5521486 | 2 | 02/23/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole Marie Rivera | 6589019 | 2 | 02/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith E McGeorge | 5758653 | 1 | 02/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Dennis Lyman | 1184978 | 3 | 02/12/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Charles Robert Beers | 6887202 | 1 | 02/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David G Domian | 5635848 | 7 | 02/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David G Domian | 5635848 | 7 | 02/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas George Delaney | 2839233 | 1 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Barry | 5586449 | 3 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jodi L Anderson | 6091731 | 2 | 01/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |