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 |
|---|---|---|---|---|---|---|---|---|
| J. Michael Mullen | 1948092 | 2 | 06/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sharon Elizabeth Zimmerly | 5916551 | 1 | 06/07/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Tobias Carlin | 1711588 | 1 | 06/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Thomas Conroy | 1855202 | 4 | 05/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emmanuel James Tsesmelis | 2345031 | 2 | 05/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Richard Neubauer | 2018228 | 1 | 05/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Corey J Yost | 4521070 | 4 | 05/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jack Lyndon Shampine | 5623240 | 1 | 05/04/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hamza Farooquee | 6554985 | 6 | 05/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mauricio Guadarrama | 3173342 | 1 | 04/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |