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 |
|---|---|---|---|---|---|---|---|---|
| Chad I Arseneau | 4206534 | 1 | 01/04/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lucas M Ring | 5536775 | 2 | 01/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Robert Haas | 4025595 | 1 | 01/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Ross Berry | 6280347 | 1 | 01/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Diamond | 7686481 | 1 | 12/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew John Colascione | 5426163 | 5 | 12/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Kevin Osborne | 5664127 | 2 | 12/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Louis Criswell | 4416326 | 3 | 12/10/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Tyler Vaage | 6887833 | 3 | 12/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Tyler Vaage | 6887833 | 3 | 12/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |