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 Pierre St Laurent | 6520218 | 1 | 08/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Leonard Lewandowski | 5923935 | 1 | 08/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Smith | 6584684 | 3 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bob Azarieh | 2821745 | 2 | 07/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stanley Earl Waldrop | 2169447 | 1 | 07/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Cabriel Chaney | 4229027 | 7 | 07/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Cabriel Chaney | 4229027 | 7 | 07/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Filipe Nelson Navesse | 4711641 | 5 | 07/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Latrice Pugh | 4389455 | 4 | 07/12/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kurt Edward Decker | 2977564 | 1 | 07/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |