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 |
|---|---|---|---|---|---|---|---|---|
| Michael Anthony New | 3011733 | 8 | 10/24/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen T Soule | 2268958 | 2 | 10/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Marie Boehm | 4954543 | 4 | 10/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Blane Brantley | 2142419 | 2 | 10/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Morgan Brewer | 6701845 | 3 | 10/17/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Allen Self | 4938703 | 7 | 10/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Camilla L Crossley | 6934373 | 1 | 10/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Morgan Brewer | 6701845 | 3 | 09/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Scott Barber | 4617523 | 5 | 09/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kerry Wilson | 6323146 | 1 | 09/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |