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 |
|---|---|---|---|---|---|---|---|---|
| Wesley Boudreaux | 4550987 | 1 | 07/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roston Ted Willis | 5904217 | 5 | 07/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole Michelle Proud Smith | 6381608 | 6 | 07/07/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole Michelle Proud Smith | 6381608 | 6 | 07/07/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sara Gross | 2425492 | 2 | 07/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sara Gross | 2425492 | 2 | 07/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Jose Medina | 5237680 | 3 | 06/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia April Devito | 5257606 | 1 | 06/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zachary Scott Mineur | 5644639 | 1 | 06/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Lane Rosenberg | 1051221 | 8 | 06/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |