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 |
|---|---|---|---|---|---|---|---|---|
| Paul H Schott | 2413754 | 3 | 05/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Deborah R Swank | 6250973 | 1 | 05/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin P Pachucki | 4547725 | 3 | 05/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Cabriel Chaney | 4229027 | 7 | 05/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Graham Barnett | 839777 | 2 | 05/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kurt Elliot Erickson | 4573212 | 1 | 05/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony New | 3011733 | 8 | 05/10/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul E Carlson | 6252030 | 2 | 05/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul E Carlson | 6252030 | 2 | 05/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rodney Marcus Scott | 5681912 | 3 | 05/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |