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 |
|---|---|---|---|---|---|---|---|---|
| John Jr Aguilar | 7456832 | 8 | 09/26/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donnetta Lashawn Bazie | 7201155 | 1 | 09/25/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce O Dye | 3014341 | 2 | 09/22/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Reginald Lockett | 6799536 | 1 | 09/19/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Edward Spence | 3005783 | 1 | 09/18/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| John Jr Aguilar | 7456832 | 8 | 09/13/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Linda Clair Mills | 845952 | 6 | 08/28/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Linda Clair Mills | 845952 | 6 | 08/28/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kenneth Adrian Lesesne | 1814146 | 7 | 08/27/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Daniel Jones | 4251065 | 4 | 07/20/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |