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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Charles Frazier | 4587000 | 1 | 07/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Katherine Esperanza Palazzetti | 6653767 | 1 | 07/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Filipe Nelson Navesse | 4711641 | 5 | 07/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dawn Renee Hoover | 2413650 | 3 | 07/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dawn Renee Hoover | 2413650 | 3 | 07/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Marcus Fedor | 6277109 | 1 | 06/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Olga Tulina | 6782367 | 1 | 06/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roy Andrew Moen | 1022088 | 2 | 06/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrea V Melendez | 6831585 | 6 | 06/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrea V Melendez | 6831585 | 6 | 06/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |