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 |
|---|---|---|---|---|---|---|---|---|
| Linda Clair Mills | 845952 | 6 | 11/21/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher D Williams | 7366275 | 1 | 11/15/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Alexander Sullivan | 6348034 | 9 | 11/01/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Jr Aguilar | 7456832 | 8 | 10/27/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Jr Aguilar | 7456832 | 8 | 10/27/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Jr Aguilar | 7456832 | 8 | 10/27/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Jr Aguilar | 7456832 | 8 | 10/25/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian S Cussimanio | 4863346 | 6 | 10/18/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Demopolis | 6624936 | 3 | 10/15/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Scott Alexander Sullivan | 6348034 | 9 | 09/28/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |