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 |
|---|---|---|---|---|---|---|---|---|
| Bridgette Craig | 7541484 | 1 | 01/18/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brendan Patrick Gallagher | 5966933 | 5 | 01/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Alejandro Ford | 2955949 | 1 | 01/10/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Michael Nuzzi | 5421191 | 1 | 01/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrea V Melendez | 6831585 | 6 | 01/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brendan Patrick Gallagher | 5966933 | 5 | 01/04/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Xavier Tomas Gutierrez | 6079144 | 1 | 12/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Enrique Olano | 6708772 | 2 | 12/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brendan Patrick Gallagher | 5966933 | 5 | 12/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brendan Patrick Gallagher | 5966933 | 5 | 12/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |