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 |
|---|---|---|---|---|---|---|---|---|
| William Bruce Dickson | 6562632 | 1 | 07/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Medley | 4857436 | 11 | 06/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Milton Crandall | 6733912 | 5 | 06/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sina Mary Nowak | 2135748 | 1 | 06/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Postell | 6192461 | 1 | 06/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leslie Anne Bond | 5918068 | 3 | 06/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Allen Self | 4938703 | 7 | 06/14/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Trevor Sean Graham | 6189430 | 1 | 06/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Russell Beiter | 2753038 | 1 | 06/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Luigi Covi | 2643094 | 1 | 06/11/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |