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 |
|---|---|---|---|---|---|---|---|---|
| Tandy Kay Ervin | 4659293 | 3 | 04/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Graeme Edward Jackson | 2700562 | 1 | 04/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Jordan Lyons | 2296000 | 1 | 04/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marek Bogdan Puk | 5480456 | 1 | 04/07/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Tartarini | 2569293 | 3 | 04/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Tartarini | 2569293 | 3 | 04/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyree Penny | 6796846 | 1 | 04/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sharon D Welch | 2899034 | 2 | 03/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tandy Kay Ervin | 4659293 | 3 | 03/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Filipe Nelson Navesse | 4711641 | 5 | 03/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |