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 |
|---|---|---|---|---|---|---|---|---|
| Robert Randall Morrison | 5419627 | 2 | 04/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Fiske Faustino | 3113089 | 3 | 04/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Regis Franskousky | 4467442 | 1 | 04/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Scott Barber | 4617523 | 5 | 04/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Price Estes | 6382386 | 2 | 04/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nisha Simon | 7534113 | 1 | 04/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James David Franskousky | 4906498 | 1 | 04/08/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin John Obrien | 2635276 | 1 | 04/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Damon Jeremy Boyar | 4539179 | 2 | 04/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julia Oh | 6287149 | 5 | 04/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |