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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Milton Crandall | 6733912 | 5 | 10/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tiffany Wharton | 6132453 | 1 | 10/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Danielle Rene Beaty | 6805596 | 1 | 10/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chant'A Lindsey | 6726207 | 1 | 09/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer L Pazicni | 7707074 | 1 | 09/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather McMaster | 7055384 | 1 | 09/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hannibal Adams | 7028643 | 1 | 09/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Mary Houle-Johns | 1348659 | 1 | 08/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Filipe Nelson Navesse | 4711641 | 5 | 08/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joanne Elizabeth Johnson | 6282579 | 1 | 08/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |