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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Tyler Vaage | 6887833 | 3 | 12/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ralph Joseph Aiello | 4161901 | 1 | 12/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Craig James Morcos | 5424097 | 6 | 12/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marc-Anthony Randell Richardson | 6312036 | 3 | 11/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Michael Kousaie | 274418 | 4 | 11/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Alexander Miot | 3245288 | 2 | 11/15/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marc-Anthony Randell Richardson | 6312036 | 3 | 11/14/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marc-Anthony Randell Richardson | 6312036 | 3 | 11/14/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer H Ceterko | 3091599 | 1 | 11/14/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin P Pachucki | 4547725 | 3 | 11/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |