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 |
|---|---|---|---|---|---|---|---|---|
| Jerimiah David Gildea | 6541294 | 1 | 02/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Wright Starling | 3224374 | 4 | 02/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Wright Starling | 3224374 | 4 | 02/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jamie Corin Murphy | 4360659 | 1 | 02/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aubri Swartz | 7810541 | 2 | 02/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Carl Mouganis | 1778958 | 2 | 01/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Dinar | 6834323 | 1 | 01/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Felix Paul McElroy | 1012514 | 3 | 01/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Filipe Nelson Navesse | 4711641 | 5 | 01/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Meredith Leigh Haldeman | 7407558 | 1 | 01/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |