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 |
|---|---|---|---|---|---|---|---|---|
| Terrance Lee Johnson | 5650624 | 3 | 12/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Scott Lawhon | 7096671 | 1 | 11/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Frederick Haffley | 4265323 | 4 | 11/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather Lee Hersey | 2821781 | 1 | 11/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Albert Noble Donahey | 2403074 | 4 | 11/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Leon Kozar | 2255790 | 2 | 11/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin David McCloud | 5986782 | 1 | 11/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Frederick Haffley | 4265323 | 4 | 11/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Pablo Alberto Davila | 6552303 | 4 | 11/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Medley | 4857436 | 11 | 11/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |