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 |
|---|---|---|---|---|---|---|---|---|
| Cheryl Ann Brown | 1650399 | 3 | 06/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christa Blunt | 6178373 | 1 | 06/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Jo Zemke | 7141432 | 1 | 06/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Leon Kozar | 2255790 | 2 | 06/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cherie Lynette Harris | 4824267 | 6 | 06/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert John Naclerio | 1677407 | 3 | 05/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Schiefer Mrowiec | 4516855 | 1 | 05/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angela E Johnson | 5674548 | 1 | 05/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Renee Hahn | 4599843 | 1 | 05/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Geoffrey John Hemenway | 6382170 | 1 | 05/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |