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 |
|---|---|---|---|---|---|---|---|---|
| Rodney Marcus Scott | 5681912 | 3 | 05/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Francis Fitchett | 5314945 | 3 | 05/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Barry | 5586449 | 3 | 05/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick Eugene Powell | 2382938 | 1 | 04/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Fredric Hunter Jurmu | 1705976 | 3 | 04/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Obadiah Bennett | 6706176 | 1 | 04/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Malik Alston | 7806195 | 1 | 04/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Seth McCaskill | 6278653 | 2 | 04/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexander Jordan Apodaca | 6206821 | 1 | 04/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ernest Angelo Johnston | 1501144 | 2 | 04/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |