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 |
|---|---|---|---|---|---|---|---|---|
| Janice Ann English | 2897028 | 1 | 11/09/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Latrice Pugh | 4389455 | 4 | 11/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Gene Witham | 2139442 | 7 | 11/07/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas James Dowd | 2747914 | 2 | 11/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas James Dowd | 2747914 | 2 | 11/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen P O'Donnell | 5789809 | 1 | 11/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond Orlando Padilla | 1229276 | 1 | 11/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Mayer | 4619639 | 2 | 11/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Arthur Crouch | 3258777 | 1 | 11/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lovina Kristine Fariss | 6887161 | 1 | 10/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |