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 |
|---|---|---|---|---|---|---|---|---|
| Karen Frankino | 4948530 | 1 | 11/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Fernando Mendez | 6954929 | 1 | 11/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael C Kessel | 5138369 | 1 | 10/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hillard Scott Saveth | 3134653 | 1 | 10/18/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rebecca Jill Gartman | 6519170 | 1 | 10/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Steven Grushka | 1008418 | 3 | 10/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrea V Melendez | 6831585 | 6 | 10/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peggy Ann Thorlton | 1643099 | 3 | 10/11/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Wayne Kosobud | 2427337 | 4 | 10/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Craig James Morcos | 5424097 | 6 | 10/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |