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 |
|---|---|---|---|---|---|---|---|---|
| Kelly Briana Hammer | 6057420 | 2 | 07/05/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Alexander Sullivan | 6348034 | 9 | 06/30/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcio Superbi Kobayashi | 6784690 | 8 | 06/30/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle James Bence | 7495107 | 2 | 06/23/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle James Bence | 7495107 | 2 | 06/23/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William F Bauerband | 2213353 | 12 | 06/21/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Lee Hibberd | 6515264 | 1 | 05/18/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Linda Clair Mills | 845952 | 6 | 05/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cherie Lynette Harris | 4824267 | 6 | 05/12/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kimberly A Cox | 2706936 | 1 | 05/02/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |