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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan Steven Chubak | 4939115 | 4 | 01/16/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Steven Chubak | 4939115 | 4 | 01/16/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emily Dalton Hickman | 6770372 | 1 | 01/05/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Esau Cruz Quiroz | 7409378 | 5 | 01/05/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Esau Cruz Quiroz | 7409378 | 5 | 01/05/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Esau Cruz Quiroz | 7409378 | 5 | 01/05/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joshua E Anderson | 7234391 | 1 | 12/06/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Adrian Lesesne | 1814146 | 7 | 11/30/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Mark Gorelik | 7040121 | 1 | 11/28/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Isaac Mendoza | 7514093 | 1 | 11/27/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |