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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Howard Rosenberg | 2705381 | 2 | 05/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Frederick Shortridge | 4982603 | 1 | 05/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Raft | 2256800 | 3 | 05/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Larry Rogers | 402668 | 2 | 04/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heidi Anne Bachor | 6237043 | 1 | 04/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandi Lynn Gentile | 5464967 | 1 | 04/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donald William Faul | 1233953 | 1 | 04/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ethan Corey Ingram | 6105298 | 4 | 04/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lance Anton Iverson | 2068161 | 1 | 04/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Howard Denler | 2190630 | 1 | 04/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |