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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Peter Alwood Drake | 1140265 | 2 | 02/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Craig James Morcos | 5424097 | 6 | 02/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua P Marvin | 6111421 | 4 | 02/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua P Marvin | 6111421 | 4 | 02/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua P Marvin | 6111421 | 4 | 02/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua P Marvin | 6111421 | 4 | 02/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |