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 |
|---|---|---|---|---|---|---|---|---|
| Charles Leon Fuller | 5003651 | 1 | 07/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Michael Kloss | 1809007 | 2 | 06/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Albert Anthony Pometto | 4304309 | 2 | 06/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bob Azarieh | 2821745 | 2 | 06/17/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Latrice Pugh | 4389455 | 4 | 06/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Evan Tate | 2949658 | 4 | 06/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keri Lea Brown | 5978410 | 1 | 06/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wynston Douglas MacKie | 6105070 | 1 | 05/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony New | 3011733 | 8 | 05/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Douglas Maloy | 1314035 | 1 | 05/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |