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 |
|---|---|---|---|---|---|---|---|---|
| J. Michael Mullen | 1948092 | 2 | 05/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Davis | 4000883 | 2 | 05/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Shawn Jarvinen | 1903573 | 3 | 05/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Joseph Passarelli | 6632116 | 1 | 05/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rachael Margaret Forster Linnehan | 5895575 | 1 | 05/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Randall Scott Tisdale | 1074678 | 1 | 05/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert John Boettcher | 2411536 | 3 | 05/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert John Boettcher | 2411536 | 3 | 05/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julie Joe Logsden Mellor | 3102193 | 2 | 05/18/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gabriel Gonzalez | 7059512 | 1 | 05/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |