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 |
|---|---|---|---|---|---|---|---|---|
| David Roasa | 5720210 | 4 | 09/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Scarr | 6685374 | 1 | 09/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mollie Amber Dones | 6326252 | 1 | 09/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Keith Scott | 4008437 | 1 | 09/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Smith | 6584684 | 3 | 09/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Smith | 6584684 | 3 | 09/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Edward Brown | 2005745 | 1 | 08/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Ann Reinoehl | 2014656 | 3 | 08/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tina Louise Laczynski | 5356307 | 1 | 08/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Isaac Dale Kline | 6404544 | 1 | 08/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |