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 |
|---|---|---|---|---|---|---|---|---|
| Lisa P Zarkin | 2158487 | 1 | 09/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronyetta Sheri Johnson | 6666445 | 1 | 09/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stafford Andre Lawrence | 6905395 | 3 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Philip Hoffman | 4573191 | 1 | 08/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert John Boettcher | 2411536 | 3 | 08/24/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sharina C Smith | 6332744 | 2 | 08/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Clark de Cuir | 5143509 | 4 | 08/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Ann Reinoehl | 2014656 | 3 | 08/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gene Taylor Hiser | 1217847 | 1 | 08/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Tyrone Javey | 5793196 | 1 | 08/07/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |