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 |
|---|---|---|---|---|---|---|---|---|
| Steven Charles Champagne | 4169488 | 10 | 02/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Charles Champagne | 4169488 | 10 | 02/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Alexis Lambert | 5819553 | 2 | 01/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Gerard Hermansen | 2108944 | 3 | 01/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Howe | 6761331 | 1 | 01/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leslie Anne Bond | 5918068 | 3 | 01/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shannon Walter Lewandoski | 5895943 | 1 | 01/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stafford Andre Lawrence | 6905395 | 3 | 01/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roston Ted Willis | 5904217 | 5 | 12/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Thomas Yeaton | 1892089 | 1 | 12/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |