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 |
|---|---|---|---|---|---|---|---|---|
| Jennifer Alexis Lambert | 5819553 | 2 | 12/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Racey Alan Morris | 3074083 | 1 | 12/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Cody Brooks | 6971756 | 2 | 12/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Martin Krist | 6677318 | 1 | 12/08/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Scott Small | 1134412 | 3 | 12/07/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Seth McCaskill | 6278653 | 2 | 12/07/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andres Alvarez | 6089290 | 1 | 12/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Edwin Buchinger | 2910720 | 2 | 12/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian David Peters | 4225348 | 1 | 11/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lindsay Elaine Lewis | 6640466 | 1 | 11/12/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |