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 |
|---|---|---|---|---|---|---|---|---|
| Martin Edward Leonard | 4763354 | 2 | 03/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyrone Donnell Morgan | 5201040 | 1 | 03/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cedrick Eugene Bennett | 7028647 | 2 | 03/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Cole Steely | 6876548 | 2 | 02/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rickey Ray Sienkiewicz | 1148981 | 1 | 02/20/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Randy Frederick | 7338623 | 1 | 02/15/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason F Sauer | 4966793 | 1 | 02/14/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Felix Paul McElroy | 1012514 | 3 | 02/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Daniel Jones | 4251065 | 4 | 02/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Daniel Jones | 4251065 | 4 | 02/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |