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 |
|---|---|---|---|---|---|---|---|---|
| Somer Taylor | 6664225 | 6 | 03/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Somer Taylor | 6664225 | 6 | 03/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Somer Taylor | 6664225 | 6 | 03/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Somer Taylor | 6664225 | 6 | 03/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Somer Taylor | 6664225 | 6 | 03/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Somer Taylor | 6664225 | 6 | 03/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carey Ann Dadio | 6769857 | 2 | 03/10/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Daniel Jones | 4251065 | 4 | 03/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Dennis Hochman | 4026647 | 2 | 03/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Gary Peterson | 3019838 | 1 | 03/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |