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 |
|---|---|---|---|---|---|---|---|---|
| John Francis Fitchett | 5314945 | 3 | 11/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Larry Lee Kiser | 2055694 | 4 | 11/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Larry Lee Kiser | 2055694 | 4 | 11/01/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Larry Lee Kiser | 2055694 | 4 | 11/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Adam Personett | 7009864 | 1 | 10/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Scott Barber | 4617523 | 5 | 10/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Allan Watts | 4935714 | 2 | 10/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Johanson | 5356992 | 3 | 10/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Johanson | 5356992 | 3 | 10/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Davids | 4020698 | 2 | 10/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |