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 |
|---|---|---|---|---|---|---|---|---|
| Austin Deshane | 6158951 | 2 | 12/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Frederick Haffley | 4265323 | 4 | 12/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Linda MacHelle Hinton | 4404949 | 5 | 12/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrea V Melendez | 6831585 | 6 | 12/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Cole Steely | 6876548 | 2 | 11/24/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Stark Pettys | 1531342 | 2 | 11/17/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Cabriel Chaney | 4229027 | 7 | 11/04/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rudy Anguiano | 5188950 | 1 | 11/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erik Ryan Midas | 5529235 | 1 | 10/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emory Roy Guest | 2308245 | 3 | 10/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |