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 |
|---|---|---|---|---|---|---|---|---|
| Antonio Almaraz | 4186264 | 1 | 10/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jodi L Anderson | 6091731 | 2 | 10/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Therese Erin Shardlow | 1291181 | 2 | 10/25/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Pablo Alberto Davila | 6552303 | 4 | 10/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Gary Ravlin | 2505517 | 1 | 10/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Corey J Yost | 4521070 | 4 | 10/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony New | 3011733 | 8 | 10/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Corey J Yost | 4521070 | 4 | 10/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Robert Seabough | 6049661 | 2 | 10/09/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Siano Whalen | 6813093 | 1 | 10/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |