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 |
|---|---|---|---|---|---|---|---|---|
| Milic Zecevic | 6403451 | 1 | 08/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carey Ann Dadio | 6769857 | 2 | 08/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carlene Edith Barajas | 5892144 | 2 | 08/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Clark de Cuir | 5143509 | 4 | 08/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Erceill Meinert | 2849825 | 2 | 07/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole Michelle Proud Smith | 6381608 | 6 | 07/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tami Heuring | 4533405 | 1 | 07/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Clark de Cuir | 5143509 | 4 | 07/24/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony New | 3011733 | 8 | 07/24/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Michael Butler | 5851400 | 1 | 07/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |