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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Allen Self | 4938703 | 7 | 08/23/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Jose Medina | 5237680 | 3 | 08/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Cabriel Chaney | 4229027 | 7 | 08/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vanessa Lievanos Cortez | 5514258 | 1 | 08/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chris Louis Calisto Libutti | 2500561 | 1 | 08/14/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Deryl Stephen Wells | 5208068 | 1 | 08/10/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Mitchel Cohn | 4313583 | 1 | 08/04/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ashley Welch | 7462491 | 1 | 07/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandra Gayle Cohn | 5722720 | 1 | 07/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cedrick Eugene Bennett | 7028647 | 2 | 07/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |