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 |
|---|---|---|---|---|---|---|---|---|
| David Charles Ferrell | 1844202 | 2 | 04/07/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Wesley Piwowar | 6770512 | 1 | 04/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexander Robert Hale | 5014273 | 1 | 04/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan M Jolley | 7072029 | 1 | 03/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Linda MacHelle Hinton | 4404949 | 5 | 03/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Connor Allen Woods Brisson | 7027227 | 1 | 03/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Robert Phillips | 850252 | 1 | 03/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jerenika Raymon Jackson | 4422838 | 1 | 03/17/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Alfons Welter | 4987337 | 1 | 03/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marlene Michelle Muscovich | 2746627 | 3 | 03/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |