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 |
|---|---|---|---|---|---|---|---|---|
| Tracy Lynn Gordon | 2981571 | 1 | 03/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Otheron Alan Griffin | 7353325 | 1 | 03/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vincent David Aber | 6380405 | 2 | 03/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Clay Sutherland | 1200157 | 3 | 03/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert F Blair | 4683777 | 2 | 03/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Ann Trimmer | 4760376 | 9 | 02/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Ann Trimmer | 4760376 | 9 | 02/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Ann Trimmer | 4760376 | 9 | 02/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Ann Trimmer | 4760376 | 9 | 02/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Ann Trimmer | 4760376 | 9 | 02/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |