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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Arthur Woody | 1349560 | 2 | 04/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ralph S Munroe | 2269651 | 2 | 04/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brenda Leigh Willis | 2389280 | 1 | 04/11/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Allen Self | 4938703 | 7 | 04/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn Anthony Walton | 5748631 | 1 | 03/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Wayne Kosobud | 2427337 | 4 | 03/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tommy Chavez | 6736349 | 1 | 03/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Wayne Kosobud | 2427337 | 4 | 03/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Price Estes | 6382386 | 2 | 03/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael L Devincentis | 1465146 | 2 | 03/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |